All environments come complete with a full set of testing and documentation to cover all Regulatory Rules, complex prospectus rules and also all Regulatory Reporting. Collectively this is referred to as the Sandbox test documentation.
Introduction
A. Objectives
The objectives of the Case Studies are:
- To enable demonstration of the level of accuracy with which rules are currently specified in the Rule Master
- To enable demonstration of the system’s capabilities and features
- To showcase examples of rule breaches within FundWare Investment Compliance Management
B. Other Information
For full details of the Sandbox testing and documentation, click on the relevant links below.
Also,
- Click here for details of the Organisational Set-up within all Client Environments to support the Sandbox testing; and
- Click here for details of the holdings and other data files uploaded to every client environment the Sandbox testing and documentation.
Jurisdictions Covered
Regulatory Rules
| Focus | Link |
|---|---|
| UCITS and jurisdictional variations | Link |
| UK NURS Property Funds | |
| Ireland Non-UCITS QIAIFs | |
| Ireland Non-UCITS RIAIFs | |
| Luxembourg SIF | |
| Malta Loan Fund | |
| US 1940 Act Rules | |
| Canada Investment Rules | |
| Islamic Funds | |
| Money Market Funds | |
| Nigeria Pension Funds | |
| Hong Kong Funds | |
| Singapore Funds |
Complex Investment Rules
| Focus | Link |
|---|---|
| Index Rules | |
| VaR and tracking Error Rules | |
| Liquidity Rules | |
| Effective Holdings | |
| Exposure Rules |
Regulatory Reports
| Focus | Link |
|---|---|
| AIFMD Annex IV | |
| FCA Derivatives Use Reporting | |
| US Form N-PORT | |
| US Form PF Reporting | |
| US 13F reporting | |
| US SEC Liquidity reporting | |
| Open Protocol Reporting | |
| PRIIPS and KIIDs | |
| Solvency II | |
| US 13H Reporting | |
| US Form CPO-PQR |
Other Modules
| Focus | Link |
|---|---|
| Security and Entitlements | |
| Cashflow Monitoring | |
| NAV Oversight |
Position Limits
| Focus | Link |
|---|---|
| Position Limits (including MIFID II) |