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 Form 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