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  • ABC.DOCs Wiki
    • Creating Documents
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      • Installing the Word Template Editor (Office 365 online)
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  • 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
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    • 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
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    • Singapore Funds
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      • BVV Funds
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      • Switzerland CISA Overview
        • CISA – Legal Structures
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        • CISO Derivatives
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    • UK – FCA Derivative Use Reporting
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    • US – 13F Reporting
      • 13F Data Lists
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    • US – Form CPO-PQR
    • US – Form N-PORT
    • US – Form PF Reporting
      • FORM PF Questions Summary
        • FORM PF Question 1
        • FORM PF Question 10
        • FORM PF Question 11
        • FORM PF Question 12
        • FORM PF Question 13
        • FORM PF Question 14
        • FORM PF Question 15
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        • FORM PF Question 2
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        • FORM PF Question 3
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        • FORM PF Question 33
        • FORM PF Question 34
        • FORM PF Question 35
        • FORM PF Question 36
        • FORM PF Question 37
        • FORM PF Question 38
        • FORM PF Question 39
        • FORM PF Question 4
        • FORM PF Question 40
        • FORM PF Question 41
        • FORM PF Question 42
        • FORM PF Question 43
        • FORM PF Question 44
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        • FORM PF Question 46
        • FORM PF Question 47
        • FORM PF Question 48
        • FORM PF Question 49
        • FORM PF Question 5
        • FORM PF Question 50
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        • FORM PF Question 53
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        • FORM PF Question 55
        • FORM PF Question 56
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        • FORM PF Question 58
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        • FORM PF Question 6
        • FORM PF Question 60
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        • FORM PF Question 7
        • FORM PF Question 70
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        • FORM PF Question 77
        • FORM PF Question 78
        • FORM PF Question 79
        • FORM PF Question 8
        • FORM PF Question 9
      • The Form PF Filing Process
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    • US – Money Market Funds
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  • Funds-Axis Technology
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    • AIFMD Annex IV File Formats and Requirements
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    • Alternative Assets Wiki
      • Alternative Assets Sandbox Portfolios
      • Asset Types
      • Illiquid Alternatives
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    • Assessment of Value
      • Assessment of Value Brochure
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    • Assessment of Value Module
    • ATLAS Funds Training
      • ATLAS Funds Training Video
      • Brochure
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    • Atlas Video
    • Cashflow Monitoring
      • Brochure
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      • 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 – 2.2 Darren Open Ended Funds / 650630217
      • 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 – Darren eligible TS / 640944159
      • 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
    • 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
      • Sanctions Monitoring
      • Sin Stocks
        • Pornography and adult Entertainment
    • EU MMF
    • Factsheets
      • Data Requirements
    • 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
      • FCA Derivative Use Error Messages
      • FCA Derivative Use Video
    • FCA Derivative Use Reporting Module
    • File Requirements and Formats COPY
    • Foreign Investment Rules Module
    • Form PF
      • Data Requirements Docs
      • US Form PF Reporting Brochure
      • US Form PF Reporting Video
    • FundWare – Client – General – File – Specifications
    • FundWare – Client – Shareholder Disclosures simplified – File – Specifications
    • Global Disclosures
      • Brochure
    • Global Disclosures Information Portal Video
    • Global Exchanges
      • Brochure
      • Video
    • Global Exchanges Information Portal
    • Global Exchanges Video
    • Highwire Counterparty Risk Module
    • HighWire Data Dictionary
    • HighWire Data Mapping Framework
    • HighWire e-Learning Hub
    • HighWire Home v3
    • Industry Sectors Monitoring
    • Investment Compliance
      • Brochure
      • Brochures
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      • Quick Q&A
      • Rules Libraries
      • Rules Writing
        • Module Overview / Training
        • Style Guide
      • Sandbox Test Documentation
        • Rules Testing – Test Script (Rule 1 – Rule 10)
        • Rules Testing – Test Script (Rule 11 – Rule 33)
        • Sandbox – Testing – Data Files
        • Sandbox – Testing – Organisation
        • Sandbox – Testing – UCITS
      • UCITS
    • Investment Compliance Wiki
    • Investment Compliance, Risk, Shareholder Disclosures
    • Investor Communications Regulation
      • Branding Templates
      • DCPT (Defined Contribution Pension Template)
      • EMT (European MiFID Template)
      • FVPT (Fair Value Pricing Template)
      • INVESTOR COMMS – Data Mappings
        • Dissemination Template
        • Registration & Distribution Template
      • The European ESG Template (EET)
      • VaR Templates
    • Leverage Requirements Monitoring Module
    • Liquidity Risk
      • Atlas e-Learning
      • Calculations
      • Inputs
      • Liquidity Contractual Basis Methodology
      • Liquidity Fixed Income Methodology
      • Liquidity Fund of Funds Methodology
      • Liquidity Market Data Requirements
        • Liquidity Onboarding Checklist
      • Liquidity Risk Brochure
      • Liquidity Risk Video
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      • Liquidity Troubleshooting
      • LST – Stress Tests Overview
      • Module Specifications
        • Liquidity Defaults – Contractual Basis Assets
      • Quick Q&A
      • Regulatory News & Blogs
    • Liquidity Risk Management & Monitoring Module
    • Major Shareholdings Module
    • Market Risk Monitoring Module
    • NAV Oversight
      • Brochure
      • Data Requirements
      • NAV Oversight Video
    • NAV Oversight and Validation Module
    • Non-UCITS Investment Compliance Module
    • Portfolio and Shareclass Statistics
      • Active Premium
      • Alpha
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      • Brochure
      • Capture & Market Percentage Ratio
      • Cost Calculations
      • Excess Returns
      • Jensen’s Alpha
      • Kurtosis
      • Market Correlation
      • Market Risk Measure (MRM)
      • Maximum Drawdown
      • Sharpe Ratio
      • Skewness
      • Sortino Ratio
      • Standard Deviation
      • Treynor Ratio
      • Value at Risk (VaR)
      • VaR Equivalent Volatility (VEV)
      • Video
    • Portfolio Statistics Module
    • Prospectus & Mandate Limits Compliance Module
    • Risk Monitoring
      • Brochure
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    • Rules Summaries and Troubleshooting
      • UCITS Legislation
        • UCITS Rules References
        • UCITS Rules Summary
      • UK NURS Legislation
        • UK NURS Rules References
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    • Rules Writing
      • Complex Rules
      • Groupings of Assets
      • Investment Rules – Other Common Restrictions
      • Pre-coded Regulatory Rules and Prospectus Rules
      • Prospectus Rules Investment Rules
      • Rules writing – prospectus review
      • Rules Writing Style Guide
    • Sector Rules Compliance Module
    • Sensitive Sector Rules Module
    • Shareholder Disclosures
      • Brochure
      • Client Daily Processes
      • Data Requirements
      • Data Terminology
      • Rules Testing & Documentation
      • Shareholder Disclosures Video
    • Shareholder Disclosures Integration DB
      • Foreign Investment Rules
      • Issuer Limits
      • Large Shareholdings
        • Large Shareholdings – Briefing Papers & Blogs
        • Notification Portals – Quick Links – Large Shareholdings
        • Thresholds Overview – Major Shareholdings
      • Sensitive Sectors
      • Short Selling
        • Notification Portals – Quick Links – Short Selling
        • Short Selling – Briefing Papers & Blogs
        • Thresholds Overview – Short Selling
      • Takeover Disclosures
        • Notification Portals – Quick Links – Takeover Dealing Disclosures
        • Takeover Disclosures – Briefing Papers & Blogs
        • Thresholds Overview – Takeovers
    • Standard Identifiers
    • Takeover Disclosures Module
    • UCITS Decision Trees
    • UCITS Investment Compliance
      • Latest News
      • UCITS Country Comparisons
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        • UCITS Eligible Assets Decision Trees
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      • UCITS KIID – User Guides and Data Requirements
        • Data Templates
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    • UCITS Rules Not Applicable to NURS: A Comparative Overview
    • 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
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    • US Form 13F Reporting Module
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    • US Form PF Reporting Module
    • Value at Risk (VaR)
      • Brochure
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      • VaR Backtesting
      • VaR Regulatory Provisions
      • VaR Time Conversions
    • AIFMD Annex IV
      • AIFMD Annex IV Data Requirements
        • AIFMD Annex IV Data – Other Data
        • AIFMD Annex IV Data Requirements Static
        • AIFMD Annex IV Data Trades
        • Client Investment Compliance File Specifications
      • AIFMD Annex IV Reporting Module Video
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      • Annex IV Operations
        • Step 1 – Preparation Tracker & Reporting Funds
        • Step 2 – Static Data
        • Step 3 – Generally Static Data
        • Step 4 – Review of Security Data Set up
        • Step 5 – Re uploading of Month End Holdings
        • Step 6 – Data Enrichment
        • Step 6a – Exchange Check
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        • Step 6c – Liquidity Check
        • Step 6d – Market Codes, Types and code types
      • Brochure
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  • Liquidity Calculations Traded Volume Basis Methodology
  • Liquidity v2
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  • Pieter Dual Disclosures
  • Pulse Dashboard
  • reports
  • Restricted Access
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  • SFDR
  • Shareholder Disclosures Integration
    • Briefing Papers
      • 13F Eligibility Indirect Transactions 2018
      • 13F Late Filings and Penalties
      • Disclosure Requirements for Section 13F Reporting
      • Disclosure Requirements for UK Takeover Rule 8
      • EU Acquisitions Directive Summary
      • Form 13F Registration Requirements
      • Global Shareholder Disclosure Rules – Overview – Part 1
      • Global Shareholder Rules – The Challenges – Part 2
      • Position Limits Regulatory Developments
      • Regulatory Briefing – 13H
      • Singapore Short Position Reporting White Paper
      • TDAD and Horizontal Aggregation
      • TDAD Thresholds
      • Transparency Directive Amending Directive (TDAD) and its impact on UK DTR 5
      • US 13D & 13G Reporting
    • Data
      • 13F Data Files
      • Denominator Search
      • Issuer Announcements
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      • Short Selling Exempt Shares
    • Decision Trees
    • Disclosures Module
    • Global Takeovers Module
    • Issuer Reporting Module
    • Knowledge Centre
      • 13F
      • Canada Disclosures Required During a Takeover
      • Canada EWR, AMR & SEDI Insider Reporting
      • Canadian Reporting Issuers
      • Common Breaches
      • Confirming securities in scope for Schedule 13D / G Disclosures
      • Disclosure Forms requiring Transaction Data
      • EU Short Selling – Determination of a Notifiable Position in Shares
      • EU Short Selling Disclosure Template
      • France Short Selling Disclosure
      • Global Short Selling Reporting Overview
      • Guide to Sensitive Sectors
      • Populating Form 8.3
      • Private Issuer Notifications
      • Schedule 13D/G Convertible Instruments Treatment
      • Schedule 13D/G Overview
      • Schedule 13G Beneficial Ownership
      • Schedule 13G Form Checklist
      • Swedish Major Shareholding Disclosure: Portal Submission
      • Takeover Rule 8.3 Overview
      • Takeover Rule 8.3: In-Specie Transfers
      • TDAD Horizontal Aggregation
      • Transparency Directive
      • UK Short Selling Disclosure Notes
      • UK/EU Short Selling Reporting Checks
      • What Denominator?
    • Notification Portals – Quick Links
    • Rule Pop ups
    • Sensitive Sectors Module
    • Thresholds Overview Module
  • Shareholder Disclosures Integration v2
  • System Administration Guides
    • User Set-up
      • Brochure
      • Video
    • User Administration
      • Brochure
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    • Overview of Roles
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    • Editing a Role
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    • Setting-up Managers and Portfolios
      • Brochure
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    • Portfolio Permission Groups
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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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    • Manual Data Management
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    • Locked Data Mappings
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  • Test
  • The European ESG Template (EET)
  • Training Academy
    • AIFMD Training
    • Counterparty Exposure
    • Derivatives e-Learning Hub
    • Introduction to AIFMD Annex IV Reporting
    • Introduction to Derivatives
    • Introduction to UCITS
    • Leverage (Commitment / Gross)
    • Liquidity Risk Management
    • Shareholder Disclosures
    • UCITS – Value-at-Risk
    • UCITS & AIFMD Risk Management
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    • UCITS Derivatives Rules
    • UCITS Eligible Assets
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    • UCITS KIID Training
    • UCITS Training
  • Trevor Test
  • UCITS Eligible Assets – Decision Tree
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  • UK NURS Schemes
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  • Video
  • WP File download search
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  • ABC.DOCs Wiki
    • Creating Documents
      • By Survey
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      • Using the API
    • Demo
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      • ABCDocs for Benchmark Reform Re-papering
      • ABCDocs for Factsheets
      • ABCDocs for HR
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      • ABCDocs for ISDA
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      • ABCDocs for Structured Products Term Sheets
      • ABCDocs Product Overview
    • Tutorials
      • Installing the Word Template Editor (Office 365 online)
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      • Understanding Roles and Permissions
      • Templates
        • Creating Templates
        • Deleting Templates
        • Using Conditions
        • Using Switches
        • Using Rules
        • Creating Graphs and Charts
        • Using Translations
  • AI ChatBot Landing Page
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  • 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
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      • MALTA – Implementation of the UCITS Directive
      • Malta AIFMD vs PIFs
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Daily Archives: 6th July 2021

Ouch! FCA delivers another blow to AFMs with AoV review

Assessment of ValueBy Trevor Dempster6th July 2021

Ouch! FCA: Financial Conduct Authority delivers another blow to Authorised Fund Managers with Assessment of Value review Last week the FCA published the results of their review on ‘host’ Authorised…

FCA Review of Host AFMs

ManCoTechBy Trevor Dempster6th July 2021

FCA: Financial Conduct Authority Review of Host AFMs On 30th June, the Financial Conduct Authority (FCA) published a review of Host Authorised Fund Management Firms. The review, which was carried…

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