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Daily Archives: 26th October 2020

AIFMD II Consultation

LiquidityBy Trevor Dempster 26th October 2020

On 22nd October 2020, the European Commission (EC) published the much anticipated consultation on the Alternative Investment Fund Managers Directive (AIFMD). Background Under AIFMD Article 69, the EC is required…

ABC.DOCs Wiki
- Creating Documents
- Demo
- Product Brochures
- Tutorials
AI ChatBot Landing Page
AI-Extractor
AI-Extractor-FA
AIFMD Annex IV Reporting Software
- AIFMD Annex IV Reporting Product Brochure
Apex Fundrock Limited
ATLAS Fund Regulation
- Canada Investment Rules
- EU – AIFMD Annex IV Reporting
  - AIFMD Annex IV ESMA Opinion and Jurisdictional Differences
  - AIFMD Annex IV Reporting Secured Borrowing
  - AIFMD Data Taxonomies
  - AIFMD Reporting Codes – Decision Tree
  - AIFMD Small and Registered AIFM
  - Annex IV Reporting Private Equity and Real Estate AIF
  - ESMA Opinion – Master AIF Reporting
  - UK implementation of AIFMD
- EU – Long Term Investment Funds
- PRIIPs KID
  - Category II PRIIPs – What MRM calculations are required?
  - CRM Calculation Step 1
  - CRM Calculation Steps 2, 3 and 4
  - PRIIPs – The EPT
  - PRIIPs Costs and Charges
  - PRIIPs KID Template
  - PRIIPs KID Template Overview
  - PRIIPs KID vs UCITS KIIDs
  - PRIIPs MRM Market Calculation
  - PRIIPs Performance Scenarios
  - PRIIPs Risk Disclosures
  - PRIIPS Risk Overview (SRI, MRM and CRM)
  - The 4 PRIIPs Categories
  - The VEV Calculation – More Detail
- EU – SFTR
- EU – Solvency II
- EU – UCITS and AIFMD Exposure Concepts
  - Commitment Exposure – The Difference between UCITS and AIFMD
  - Example 1: Derivative Supported by Cash and Risk-Free Assets
  - Example 2: The Relevance of Derivatives’ Unrealised Gain
  - Example 3: The Relevance of Derivatives Unrealised Loss
  - Example 4: Fund has borrowed cash to buy more equities
  - Example 5: Total Return Swap example
  - Example 6: Deleverage Example 1
  - Example 7: Deleverage Example 2
  - Example 8: Convertible Bonds
  - Example 9: Future combined with Forward FX
  - Recommendations For Change
- UCITS / NURS KIIDs
  - KIID – Further Detail
  - KIID Template
  - KIIDs – Structured Funds
  - Ongoing Charges
  - SRRI Number
- Hong Kong Rules
- Ireland – Non-UCITS Rules
- Islamic Funds
- Liquidity (Global)
  - International Rules & Guidelines
- Luxembourg Non-UCITS Rules
- Malta Rules
  - MALTA – Implementation of the UCITS Directive
  - Malta AIFMD vs PIFs
  - Malta Fund Structures
  - Malta PIFs
  - Malta Retail Funds
  - Malta Tax Prescribed Funds
  - Malta: Collective Investment Schemes Law and Regulation
- Nigeria Pension Funds
- Open Protocol (OPERA) Reporting
- Position Limits (including MIFID II)
- Singapore Funds
- Switzerland Investment Rules
  - BVV Funds
  - Switzerland CISA Overview
- UK – FCA Derivative Use Reporting
- UK – Non-UCITS Funds
- UK – NURS Rules
- US – 13F Reporting
  - 13F Data Lists
- US – 13H Reporting
- US – 1940 Act Investment Rules
- US – Form CPO-PQR
- US – Form N-PORT
- US – Form PF Reporting
  - FORM PF Questions Summary
  - The Form PF Filing Process
  - US Form PF Exposure Concepts
- US – Money Market Funds
- US – SEC Liquidity Reporting
ATLAS view
Aviva
Baillie Gifford & Co
Business User Guides
Canaccord Genuity Group Inc.
Carne Group
Channels
ChatBots
- Frequently Asked Questions
- Meet Our Digital Assistants
Client Specific Landing
Comprehensive Solutions for Investor Fund Documentation
- Automated Costs & Charges Calculations
  - Costs and Charges Product Brochures
- Automated SRRI, SRI & Performance Calculations
- Interactive Widgets & Digital Delivery Service
- Investor Document Production
  - PRIIPs KIID Product Brochure
  - UCITS KIID Product Brochure
- Investor Fund Documentation Product Brochure
- Regulatory Templates (EMT, EPT, and more )
  - Template Production Product Brochure
Crytpo Wiki
- Introduction to Crypto Assets
- Digital Asset Investing
- Cryptocurrency Funds
- Crypto Investing
- Crypto Exposure Monitoring
- Regulations, Insights & News
- Risk Analytics
CSC Global (Intertrust)
Demo News
Disclosures FAQs
Environmental, social, and corporate governance (ESG)
ESG Related Fund Names
Evelyn Wealth Landing Page
- Centralisation of Third Party Management Info
- Costs and Charges Module
- HighWire Black and White List Functionality
- HighWire Holdings Analysis
- HighWire IBP Overview
- Highwire Opal Module
- HighWire Portfolio View
- Liquidity Monitoring
- SRRI
- SRRI – Our Online Calculator
- Statistics Module
Events
Fund Regulation
Fund Regulation News
Funds-Axis Depositary Operating Framework
- Cockpit 360
- Collateral Oversight – Collateral Payment Instructions
- Enterprise Data Management (EDM) – Automated Tracking of Data Receipts
- Enterprise Data Management (EDM) – Books & Records Upload
- Enterprise Data Management (EDM) – Extracting Data from PDFs
- Enterprise Data Management (EDM) – Funds-Axis’ Enterprise Data Management, File Transformation and ETL Capabilities
- FA Thoughts: Asset Lifecycle
- Generic (Lux): 2. CFM – Cash Reconciliation
- Generic (Lux): 3. CFM – Significant and Inconsistent Transactions
- HighWire – Architecture & Technology
- HighWire Alternative Assets
- HighWire Dynamix
- HighWire GRC Capabilities for Asset Verification
- HighWire NAV Oversight – General
- HighWire Portfolio Master Overview
- HighWire Reports – Books and Records
- HighWire Sisense Reporting
- HighWire Support – AI Assistant
- Highwire Support – Help Desk
- Highwire Support – Regulatory Support
- IBP1 Prospectus Wardbrobe
- IBP3 Prospectus Unicorn (Lux)
- IBP4 Prospectus Oaktree (IE)
- IBP5 Prospectus Parsnip (UK)
- IBP6 Prospectus Shoulder (UK)
- Introduction to Funds-Axis
- Introduction to Funds-Axis Video
- Investment Compliance Overview
- Oaktree (IE) – 11. Stock Reconciling Items
- Oaktree (IE) – 2. CFM – Cash Reconciling items
- Oaktree (IE) – 4. CID Due Diligence
- Oaktree (IE): 3. CFM – Significant and Inconsistent Transactions
- Opal Module
- Other Assets Register – Shoulder
- Other Assets Register – Unicorn
- Parsnip (UK) – 2. CFM – Cash Reconciling Items
- Quick Overview – Portfolio Set-up & HighWire High-level Overview
- Safekeeping of Assets – Wardrobe
- Shoulder (UK): 3. CFM – Significant and Inconsistent Transactions
- Wardrobe HF (Lux) Prime broker Rehypothecation
- Your Data in Highwire – Custody Assets vs. Other Non-Financial Assets
- Your Data in Highwire – Exposure Overview
- Your Data in Highwire – Liquidity Overview
- Your Data in Highwire – Real Estate Funds
Funds-Axis Technology
- Data Requirements
- HighWire Test Portfolios
- Modules and Functionality
  - Depositary Solutions
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- On-boarding
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  - System Diagrams
FundWare – Basic Training
Gateway Fund Services Limited
HAL Investments NL
Highwire Atlas Version 3
HighWire Data Uploads
HighWire Help & Resources
HighWire Landing v2
HighWire Module Hub
- AIFMD Annex IV File Formats and Requirements
- AIFMD Annex IV Reporting Module
- Alternative Assets Wiki
  - Alternative Assets Sandbox Portfolios
  - Asset Types
  - Illiquid Alternatives
  - Liquid Alternatives
- Assessment of Value
  - Assessment of Value Brochure
  - Assessment of Value Video
- Assessment of Value Module
- ATLAS Funds Training
  - ATLAS Funds Training Video
  - Brochure
- ATLAS Funds Training Information Portal
- ATLAS Funds Training Information Portal Video
- Atlas Video
- Cashflow Monitoring
  - Brochure
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  - Cashflow Regulatory Information
  - Common Error Messages
  - Video
- Cashflow Monitoring Data Files
  - Cashflows file
- Client Data
  - Administrators – File Requirements & Mappings
  - Costs and Charges
  - Data – Client Data Flows
  - Data – Users and Roles
  - Data Connections
  - File Requirements and Formats
  - FundWare – Client – NAV – File – Specifications
  - Group, Manager, Entity, Portfolio and Shareclass Static Data Templates
  - Portfolio Holdings
  - Portfolio Summaries and Returns
  - Prices, Values and Dividends
  - Reuters File Specification
  - Security Data File Specification
  - Transaction Costs
- Comparing Investment Limits: NURS vs. UCITS
- Counterparty Risk
- Counterparty Risk Monitoring Module
- CPO-PQR
- Custody Market Oversight
  - Brochure
  - Video
- Custody Market Oversight Module
- Daily Client Governance
- Data Quality Management
- Decision Trees
  - IBP – 2.3 Is it equivalent to a UCITS / 393541808
  - IBP – 3. Eligible Deposit / 823095231
  - IBP – Additional criteria for closed end-funds / 968329355
  - IBP – Approved Deposit Takers / 916506419
  - IBP – Approved Money Market Instruments / 558037057
  - IBP – Approved Transferable securities – practical / 176732280
  - IBP – Closed end funds – subject to corporate governance mechanism / 323183939
  - IBP – Derivatives on Financial Indices / 685437239
  - IBP – Eligible Markets Assessment – PL / 522866454
  - IBP – HighWire HelpDesk: Resolving breaches and understanding rules / 563395676
  - IBP – Indices – Adequate diversification / 133638671
  - IBP – Is it an eligible Derivative / 238854105
  - IBP – OTC Derivative Counterparties / 939123244
  - IBP – SFI / 510610755
  - IBP – UCITS Asset Eligibility / 329477059
  - IBP – UCITS Equivalent Assessment – PL / 681715816
  - iBP 2.1 Eligible Collective Investment Schemes / 762159968
  - IBP1 – Investment Compliance Q&A / 660796844
  - Open Ended Funds / 650630217
  - UCITS Eligible Assets – Transferable Securities / 640944159
- Depositary Cashflow Monitoring Module
- Derivatives Exposure
  - Derivative Concepts Summary
  - Security Identifiers
  - Standard Set-up ETD
- Dual Disclosures
  - Canada – Major Shareholdings
  - Dual Disclosures Overview
  - EU Short Selling
  - EU Transparency Directive
  - Identifying Canadian Issuer in scope for AMR / EWR Disclosures
  - Identifying EU Transparency Directive Disclosure in Scope
  - Identifying Schedule 13D / G Securities in Scope
  - Identifying UK Major Shareholding Disclosure in Scope
  - UK Short Selling
  - United States – 13D & G
- EMT/EPT Framework
- ESG and Sanctions Monitoring
  - Cannabis Stocks
  - Cluster Munitions
  - Country of Risk
  - Cryptocurrency Stocks
  - International Sanctions Lists
  - Russia
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  - Sin Stocks
    - Pornography and adult Entertainment
- EU MMF
- Factsheets
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- Factsheets and KIIDs
  - Brochure
  - Factsheets Video
- FCA Derivative Use
  - FCA Derivative Use – Data Taxonomy
  - FCA Derivative Use – FCA Queries
  - FCA Derivative Use – How to File on Gabriel
  - FCA Derivative Use Brochure
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- File Requirements and Formats COPY
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- Form PF
  - Data Requirements Docs
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- FundWare – Client – General – File – Specifications
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- Global Disclosures
  - Brochure
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- Global Exchanges
  - Brochure
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- Highwire Counterparty Risk Module
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  - UCITS
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  - Branding Templates
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  - The European ESG Template (EET)
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- Leverage Requirements Monitoring Module
- Liquidity Risk
  - Atlas e-Learning
  - Calculations
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  - Liquidity Market Data Requirements
    - Liquidity Onboarding Checklist
  - Liquidity Risk Brochure
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  - Liquidity RMP Consultancy Support
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  - LST – Stress Tests Overview
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    - Liquidity Defaults – Contractual Basis Assets
  - Quick Q&A
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- Liquidity Risk Management & Monitoring Module
- Major Shareholdings Module
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- NAV Oversight
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  - NAV Validation & Oversight Monitoring Software Product Brochure
- Non-UCITS Investment Compliance Module
- Portfolio and Shareclass Statistics
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  - Maximum Drawdown
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  - Standard Deviation
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  - Value at Risk (VaR)
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  - Video
- Portfolio Statistics Module
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- Risk Monitoring
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- Rules Summaries and Troubleshooting
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- Rules Writing
  - Complex Rules
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  - Pre-coded Regulatory Rules and Prospectus Rules
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- Sector Rules Compliance Module
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- Shareholder Disclosures
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  - Latest News
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    - UCITS Eligible Assets Decision Trees
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  - UCITS Eligible Markets
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  - UCITS EPM Rules
  - UCITS Guidance and Legislation
  - UCITS Investment Rules
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- UCITS Investment Compliance Module
- UCITS KIID
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- UCITS Value at Risk Module
- Underlying Funds Holdings Files
- US 13F Reporting
  - Brochure
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- US 1940 Act
  - US 1940 Act Investment Compliance Module Video
- US 1940 Act Investment Compliance Module
- US Form 13F Reporting Module
  - US Form 13F Reporting Module Video
- US Form PF Reporting Module
- Value at Risk (VaR)
  - Brochure
  - Value at Risk (VaR) Video
  - VaR Backtesting
  - VaR Regulatory Provisions
  - VaR Time Conversions
- AIFMD Annex IV
  - AIFMD Annex IV Data Requirements
  - AIFMD Annex IV Reporting Module Video
  - AIFMD System Troubshooting
  - Annex IV Operations
  - Brochure
HighWire Release Notes
HighWire Upcoming Events
HighWire XML Utils
HSBC
Investment Compliance – June 2023
Investment Compliance Monitoring Product Brochure
Investment Compliance Monitoring Software
Latest News (Global Disclosures News Articles)
Leverage
- AIFMD AUM Calculations
- Calculations Examples
- Commitment Method Exposure – Funds-Axis Recommendations for Change
- Regulations
- UCITS Commitment vs. AIFMD Commitment – The key differences
Liquidity Calculations Traded Volume Basis Methodology
Liquidity v2
Major Shareholding Thresholds
Marlborough Group Holdings Limited
Maximise HighWire Experience
NAV Validation & Oversight Monitoring Software
Northern Trust
ONE group solutions
Phoenix Asset Management Partners Limited
Pieter Dual Disclosures
Pulse Dashboard
PwC
QIS Rules
Regulatory Tracker – Monthly Updates
- AIFMD Annex IV – Tracked Regulatory Changes
- ESG – Tracked Regulatory Changes
- Global Shareholding Disclosures – Tracked Regulatory Changes
- Investment Compliance – Tracked Regulatory Changes
- Investor Communications – Tracked Regulatory Changes
- Liquidity – Tracked Regulatory Changes
- NAV – Tracked Regulatory Changes
- North America Regulatory Reporting – Tracked Regulatory Changes
- Operational Resilience / DORA – Tracked Regulatory Changes
- UCITS and AIFMD – Tracked Regulatory Changes
reports
Restricted Access
Risk Monitoring Solutions
- Risk Monitoring Solutions Product Brochure
Sanctions & ESG Monitoring
- Sanctions & ESG Monitoring Product Brochure
Sandbox & Test Portfolios
SFDR
Shareholder Disclosure Monitoring Software
- Shareholder Disclosure Monitoring Product Brochure
Shareholder Disclosures Integration
- Briefing Papers
- Data
- Decision Trees
- Disclosures Module
- Global Takeovers Module
- Issuer Reporting Module
- Knowledge Centre
- Notification Portals – Quick Links
- Rule Pop ups
- Sensitive Sectors Module
- Thresholds Overview Module
Shareholder Disclosures Integration v2
Svenska Handelsbanken AB
System Administration Guides
- User Set-up
  - Brochure
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- User Administration
  - Brochure
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- Overview of Roles
  - Brochure
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- Editing a Role
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- Setting-up Managers and Portfolios
  - Brochure
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- Portfolio Permission Groups
  - Brochure
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- Data Batches and Rule Batches
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- Data Mapping Configuration
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- Data Operations – Uploading Data Files
  - Brochure
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- Rules Configuration
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- User Defined Selections
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- Domain Management, User Enrollment
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Test
The European ESG Template (EET)
Thesis Asset Management Limited
Training Academy
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- Counterparty Exposure
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- Introduction to AIFMD Annex IV Reporting
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- UCITS KIID Training
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Trevor Test
True Potential Investments
Trust & Security
- Funds-Axis Trust Center
Tutman Fund Solutions Limited (TFSL) – Evelyn Partners
UCITS Eligible Assets – Decision Tree
UCITS Eligible Markets – Decision Tree
UK NURS Schemes
UK TCFD
Video
Way Fund Managers Limited
Waystone AM
WP File download search
Yealand Fund Services

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