FCA Derivative Use Reporting Module

Skip to content

011 322 44 568500 Beverly Boulevard Los Angeles, CA 90048

Facebook page opens in new window X page opens in new window Dribbble page opens in new window

Highwire Extensions

Just another Funds-Axis site

ABC.DOCs Wiki
AI ChatBot Landing Page
AI-Extractor
AI-Extractor-FA
ATLAS Fund Regulation
ATLAS view
Aviva
Business User Guides
Channels
ChatBots
- Frequently Asked Questions
- Meet Our Digital Assistants
Client Specific Landing
Crytpo Wiki
Demo News
Disclosures FAQs
Environmental, social, and corporate governance (ESG)
ESG Related Fund Names
Events
Fund Regulation
Fund Regulation News
Funds-Axis Technology
FundWare – Basic Training
Highwire Atlas Version 3
HighWire Data Uploads
HighWire Help & Resources
HighWire Landing v2
HighWire Module Hub
HighWire Release Notes
HighWire Upcoming Events
HighWire XML Utils
HSBC
Investment Compliance – June 2023
Latest News (Global Disclosures News Articles)
Leverage
Liquidity Calculations Traded Volume Basis Methodology
Liquidity v2
Major Shareholding Thresholds
Pieter Dual Disclosures
Pulse Dashboard
reports
Restricted Access
Sandbox & Test Portfolios
SFDR
Shareholder Disclosures Integration
Shareholder Disclosures Integration v2
System Administration Guides
Test
The European ESG Template (EET)
Training Academy
Trevor Test
UCITS Eligible Assets – Decision Tree
UCITS Eligible Markets – Decision Tree
UK NURS Schemes
UK TCFD
Video
WP File download search

Search:

Search

ABC.DOCs Wiki
- Creating Documents
- Demo
- Product Brochures
- Tutorials
AI ChatBot Landing Page
AI-Extractor
AI-Extractor-FA
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
Business User Guides
Channels
ChatBots
- Frequently Asked Questions
- Meet Our Digital Assistants
Client Specific Landing
Crytpo Wiki
- Introduction to Crypto Assets
- Digital Asset Investing
- Cryptocurrency Funds
- Crypto Investing
- Crypto Exposure Monitoring
- Regulations, Insights & News
- Risk Analytics
Demo News
Disclosures FAQs
Environmental, social, and corporate governance (ESG)
ESG Related Fund Names
Events
Fund Regulation
Fund Regulation News
Funds-Axis Technology
- Data Requirements
- HighWire Test Portfolios
- Modules and Functionality
  - Depositary Solutions
  - Risk Monitoring
- On-boarding
- Technology Architecture Overview
  - System Diagrams
FundWare – Basic Training
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
  - Cashflow Monitoring Product Overview
  - 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 – 2.2 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
  - Investigating Breaches
  - Investment Compliance Video
  - Quick Q&A
  - Rules Libraries
  - Rules Writing
    - Module Overview / Training
    - Style Guide
  - Sandbox Test Documentation
  - 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
  - Liquidity RMP Consultancy Support
  - 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
  - Beta
  - 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
  - Risk Module Video
- Rules Summaries and Troubleshooting
  - UCITS Legislation
    - UCITS Rules References
    - UCITS Rules Summary
  - UK NURS Legislation
    - UK NURS Rules References
    - UK NURS Rules Summary
- 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
  - Sensitive Sectors
  - Short Selling
  - Takeover Disclosures
- Standard Identifiers
- Takeover Disclosures Module
- UCITS Decision Trees
- UCITS Investment Compliance
  - Latest News
  - UCITS Country Comparisons
  - UCITS Derivatives Rules
  - UCITS Eligible Assets
    - UCITS Eligible Assets Decision Trees
    - UCITS Eligible Assets Guide
  - UCITS Eligible Markets
    - UCITS Eligible Markets Decision Tree
  - UCITS EPM Rules
  - UCITS Guidance and Legislation
  - UCITS Investment Rules
  - UCITS Legislation & Overview
- UCITS Investment Compliance Module
- UCITS KIID
  - UCITS KIID – User Guides and Data Requirements
- UCITS Rules Not Applicable to NURS: A Comparative Overview
- UCITS Value at Risk Module
- Underlying Funds Holdings Files
- US 13F Reporting
  - Brochure
  - Video
- 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
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
Pieter Dual Disclosures
Pulse Dashboard
reports
Restricted Access
Sandbox & Test Portfolios
SFDR
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
System Administration Guides
- User Set-up
  - Brochure
  - Video
- User Administration
  - Brochure
  - Video
- Overview of Roles
  - Brochure
  - Video
- Editing a Role
  - Brochure
  - Video
- Setting-up Managers and Portfolios
  - Brochure
  - Video
- Portfolio Permission Groups
  - Brochure
  - Video
- Data Batches and Rule Batches
  - Brochure
  - Video
- Data Mapping Configuration
  - Brochure
  - Video
- Data Operations – Uploading Data Files
  - Brochure
  - Video
- Manual Data Management
  - Brochure
  - Video
- Rules Configuration
  - Brochure
  - Video
- Rules Processing
  - Brochure
  - Video
- User Defined Selections
  - Brochure
  - Video
- Domain Management, User Enrollment
  - Brochure
  - Video
- Locked Data Mappings
  - Brochure
  - Video
- Sisense Report Management
  - Brochure
  - Video
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
- UCITS and VAR
- UCITS Derivatives Rules
- UCITS Eligible Assets
- UCITS Investment Rules
- UCITS KIID Training
- UCITS Training
Trevor Test
UCITS Eligible Assets – Decision Tree
UCITS Eligible Markets – Decision Tree
UK NURS Schemes
UK TCFD
Video
WP File download search

RETURN TO PREVIOUS PAGE

FCA Derivative Use Reporting Module Brochure

FCA Derivative Use Reporting Module Video

Go to Top