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  • AIFMD Annex IV Reporting Software
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      • 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
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      • FORM PF Questions Summary
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        • FORM PF Question 7
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        • FORM PF Question 8
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      • The Form PF Filing Process
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    • Generic (Lux): 2. CFM – Cash Reconciliation
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    • Opal Module
    • Other Assets Register – Shoulder
    • Other Assets Register – Unicorn
    • Parsnip (UK) – 2. CFM – Cash Reconciling Items
    • Quick Overview – Portfolio Set-up & Galaxy High-level Overview
    • Safekeeping of Assets – Wardrobe
    • Shoulder (UK): 3. CFM – Significant and Inconsistent Transactions
    • Wardrobe HF (Lux) Prime broker Rehypothecation
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    • AIFMD Annex IV File Formats and Requirements
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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
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      • Brochure
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    • 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 – Galaxy 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
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      • Cannabis Stocks
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        • Pornography and adult Entertainment
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      • FCA Derivative Use Video
    • FCA Derivative Use Reporting Module
    • File Requirements and Formats COPY
    • Foreign Investment Rules Module
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    • FundWare – Client – General – File – Specifications
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    • Galaxy Counterparty Risk Module
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      • Atlas e-Learning
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      • Active Premium
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      • VaR Equivalent Volatility (VEV)
      • Video
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        • Notification Portals – Quick Links – Short Selling
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    • UCITS Value at Risk Module
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      • US 1940 Act Investment Compliance Module Video
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    • Value at Risk (VaR)
      • Brochure
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      • VaR Backtesting
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    • 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
      • AIFMD System Troubshooting
      • Annex IV Operations
        • Step 1 – Preparation Tracker & Reporting Funds
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        • 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
        • Step 6b – Countries Check
        • Step 6c – Liquidity Check
        • Step 6d – Market Codes, Types and code types
      • Brochure
  • Galaxy Release Notes
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  • Gateway Fund Services Limited
  • HAL Investments NL
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  • Investment Compliance – June 2023
  • Investment Compliance Monitoring Product Brochure
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  • 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 CCI Rules Update 23rd December 2025
  • Marlborough Group Holdings Limited
  • Maximise Galaxy Experience
  • NAV Validation & Oversight Monitoring Software
  • Northern Trust
  • ONE group solutions
  • Phoenix Unit Trust Managers
  • Pieter Dual Disclosures
  • Pulse Dashboard
  • Puma Takeover Disclosures – Follow-up Demo
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  • Regulatory Tracker – Monthly Updates
    • AIFMD Annex IV – Tracked Regulatory Changes
    • ESG – Tracked Regulatory Changes
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    • Operational Resilience / DORA – Tracked Regulatory Changes
    • UCITS and AIFMD – Tracked Regulatory Changes
  • reports
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  • Risk Monitoring Solutions
    • Risk Monitoring Solutions Product Brochure
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    • Sanctions & ESG Monitoring Product Brochure
  • Sandbox & Test Portfolios
  • SFDR
  • Shareholder Disclosure Monitoring Software
    • Shareholder Disclosure Monitoring Product Brochure
  • 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
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      • 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
  • Svenska Handelsbanken AB
  • System Administration Guides
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      • 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
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      • What Denominator?
    • Notification Portals – Quick Links
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  • Shareholder Disclosures Integration v2
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  • Test
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  • Way Fund Managers Limited
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Daily Archives: 6th June 2022

Regulatory Round-up: May 2022

Regulatory Round-upsBy Trevor Dempster6th June 2022

Welcome to the Funds-Axis Regulatory Round Up! The past month has brought a number of important developments on topics including ESG, UCITS, AIFMD II and Money Market Funds. The month…

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