The US Securities and Exchange Commission’s (SEC) proposed new approach to derivatives regulation would introduce a framework that imposes new overall portfolio limits on the leverage that can be achieved through the use of derivatives and so-called “financial commitment transactions,” while also modifying the asset segregation requirements that have long applied to such transactions.
Funds-Axis provides multiple automated investment compliance, asset segregation and risk monitoring solutions, including for ‘40 Act funds. This includes full calculation and monitoring for derivatives exposures, including commitment exposure and VaR, and monitoring of cover requirements. With established integrations with multiple Administrators and Prime Brokers, we have the expertise to ensure your future compliance with the proposed new Rule 18f-4 with a minimum of fuss.
OUR US SEC RULE 18F-4 REGULATORY COMPLIANCE SOFTWARE IS SIMPLE, QUICK AND LOW COST:
Installed or Web-based (SAAS, secure FTP) – no internal technology requirements
Just upload holding file (simple file format) and press “GO”
Rules are pre-coded
View results, manage exceptions and run tailored reports
Can be available in just days