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U.S. SEC’s Investment Company Reporting Modernization

The SEC’s Investment Company Reporting Modernization rules seek to protect investors with more robust reporting requirements and stronger liquidity risk management requirements.

Funds-Axis provide cutting-edge technology and services to the industry to support the collection and analytics for the required reporting information.

This includes From N-Port and Form N-CEN as well as Liquidity Risk Management and Derivative Risk Management.

Derivatives Risk Management

  • Monitoring of segregation of assets
  • Derivatives cover monitoring
  • Leverage monitoring of derivatives
  • Counterparty risk monitoring

SEC Rules 22e-4: Liquidity Risk Magagement

  • Liquidity Risk Profile Analysis
  • Liquidity Reporting
  • Fund Liquidity Reporting
  • Liquidity Limit Monitoring (% in illiquid assets,% in highly liquid assets, % in moderately liquid assets)
  • Time Series Reporting

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