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011 322 44 56

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Daily Archives: 2nd August 2021

Regulatory Round-up: July 2021

Regulatory Round-upsBy Trevor Dempster 2nd August 2021

Welcome to the Funds-Axis Regulatory Round Up! In this month’s round-up, of particular interest, nearly two years after the implementation of the Assessment of Value requirements, the FCA have finally…

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
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- Regulations, Insights & News
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CSC Global (Intertrust)
Demo News
Disclosures FAQs
Environmental, social, and corporate governance (ESG)
ESG Related Fund Names
Evelyn Partners
Evelyn Wealth Landing Page
- Centralisation of Third Party Management Info
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- SRRI
- SRRI – Our Online Calculator
- Statistics Module
Events
Fund Regulation
Fund Regulation News
Funds-Axis Depositary Operating Framework
- Cockpit 360
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- Enterprise Data Management (EDM) – Automated Tracking of Data Receipts
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- Enterprise Data Management (EDM) – Funds-Axis’ Enterprise Data Management, File Transformation and ETL Capabilities
- FA Thoughts: Asset Lifecycle
- Generic (Lux): 2. CFM – Cash Reconciliation
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- HighWire – Architecture & Technology
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- HighWire NAV Oversight – General
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- IBP1 Prospectus Wardbrobe
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- Introduction to Funds-Axis
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- 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
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Funds-Axis Technology
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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
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- Alternative Assets Wiki
  - Alternative Assets Sandbox Portfolios
  - Asset Types
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- Assessment of Value
  - Assessment of Value Brochure
  - Assessment of Value Video
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- ATLAS Funds Training
  - ATLAS Funds Training Video
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- Atlas Video
- Cashflow Monitoring
  - Brochure
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- Client Data
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  - Group, Manager, Entity, Portfolio and Shareclass Static Data Templates
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- 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
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- 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
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  - UK Short Selling
  - United States – 13D & G
- EMT/EPT Framework
- ESG and Sanctions Monitoring
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  - Country of Risk
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- EU MMF
- Factsheets
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- FCA Derivative Use
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- File Requirements and Formats COPY
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- Form PF
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- FundWare – Client – General – File – Specifications
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- Global Disclosures
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- Liquidity Risk
  - Atlas e-Learning
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  - Quick Q&A
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  - Value at Risk (VaR)
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  - Video
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- Rules Writing
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- UCITS Investment Compliance Module
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- UCITS Value at Risk Module
- Underlying Funds Holdings Files
- US 13F Reporting
  - Brochure
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- US 1940 Act Investment Compliance Module
- US Form 13F Reporting Module
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- Value at Risk (VaR)
  - Brochure
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- AIFMD Annex IV
  - AIFMD Annex IV Data Requirements
  - AIFMD Annex IV Reporting Module Video
  - AIFMD System Troubshooting
  - Annex IV Operations
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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
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- Liquidity – Tracked Regulatory Changes
- NAV – Tracked Regulatory Changes
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- 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
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- Overview of Roles
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Test
The European ESG Template (EET)
Thesis Asset Management Limited
Training Academy
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Trevor Test
True Potential Investments
Trust & Security
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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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