Understanding regulatory compliance, especially the intricacies of Section 13F filings is a challenge many firms face. Ensuring accurate reporting while managing the time-intensive reviews can be daunting. This blog delves into the specifics of Section 13F, sheds light on the common hurdles companies encounter, and underscores the critical need for a streamlined approach to regulatory compliance.

This month the FCA released publications on what it expects from firms in terms of liquidity risk management and compliance. In a recent press release, FCA warned that their most recent review of asset managers liquidity risk management and compliance “should serve as a warning to all asset managers that they need to get this right”.

If you need to replace your incumbent MiFID II transaction reporting solution and are currently searching to find a platform authorized as an Approved Reporting Mechanism (ARM), that can offer the simplest migration path possible, then AQMetrics is the solution for you.

This blog sets out what is involved in migrating to AQMetricsand and the reasons why firms switch to AQMetrics.

New Electronic Money Institutions (EMIs) or Payments Institutions (PIs) in Ireland are oftentimes challenged by the complex landscape of regulatory reporting. To simplify compliance and reduce the regulatory burden on new entrants into the Irish EMI and PI market, AQMetrics technology streamlines reporting obligations and ensures compliance with emerging regulatory changes.

On May 3,  2023, the SEC adopted a final rule amending Form PF. The final rule amendments apply to large hedge fund advisers, having at least $1.5 billion in relevant AUM; private equity fund advisers, having at least $150 million in relevant AUM; and large private equity fund advisers, having at least $2 billion in relevant AUM.

Yesterday, 21st of April, 2023, the Central Bank of Ireland (the “Central Bank”) sent a Dear Chair letter to all Alternative Investment Fund Managers in Ireland. In the Central Bank letter, Darragh Rossi, Head of Division, Funds Supervision Division, set out significant AIFMD reporting changes that the Central Bank will implement in November 2023.

Today, April 14th 2023, the financial services commissioner Mairead McGuinness has published amendments on the interpretation of Regulation (EU) 2019/2088. These amendments seek to clarify how under the sustainable finance disclosures regulation (SFDR) investment products can be sold as "sustainable" to investors after asset managers downgraded many of their funds due to uncertainty over the rules.

With ever-emerging multi-jurisdictional regulations, buy-side firms must continually ensure that they maintain regulatory compliance. This is not always easy to accomplish as buy-side regulations have increased dramatically in scope and speed across the Globe.

To meet regulatory reporting requirements, companies need to convert their annual report to the ESEF/UKSEF format, tag the figures in the primary financial statements and block tag the notes. Upcoming legislation will likely bring additional tagging for ESG disclosures.

Keeping data volumes and regulations in one place:

Many fund service providers face ongoing challenges related to data quality assurance, information security and complex data-driven regulations.

On the 26th of October 2022 the Monetary Authority of Singapore (MAS) issued a consultation paper proposing additional regulatory safeguards for cryptocurrency firms. The summary below sets out the main elements of the proposed expansion of the existing regulatory framework.

AQMetrics won the Most Innovative Technology Firm Award at the 2022 HFM US Services Awards for its innovative regtech platform. In this blog, AQMetrics sets out how it's moving forward with even more innovation throughout the remainder of 2022, into 2023 and beyond.