Compliance Passport:  Regulatory Reporting Systems

For companies with multiple portfolio managers, the need to balance thousands of positions, use a variety of investment vehicles, monitor the total holdings by jurisdiction, and understand the regulatory requirements of different countries (both at home and abroad) often requires the use of a number of manual, time consuming processes.

Our Regulatory Reporting Systems tool is a compliance workflow programme that completely automates the regulatory obligations for shareholding disclosure. This solution not only aggregates holdings, but also manages the regulatory changes that can affect disclosure obligations and reporting requirements for firms with significant investments in foreign jurisdictions.

Aggregate

Our Regulatory Reporting Systems solution aggregates positions across multiple funds, accounts and managers. In addition, the ability to consolidate source feeds from multiple managers into a single feed Regulatory Reporting System provides real time reports on your firm’s positions. More importantly, our comprehensive Regulatory Reporting Systems tool accurately aggregates not only common investments, but also harder to calculate derivatives and convertible securities, thus allowing for a more precise report.

Alerts and Filing

Regularly updated with the reporting requirements of the world’s most common jurisdictions, Regulatory Reporting Systemsautomatically monitors a firm's positions in relation to relevant business and regulatory requirements, and then sends an alert when a filing may be required. Better still, all of the necessary form forms are then automatically generated and prepared for review.

Regulatory Reporting Systems currently automates the alert and filing process for some of the world’s most common jurisdictions including the United States, France, Germany, Australia and Japan.

Jurisdictional Expansion Module

For additional countries, our Regulatory Reporting Systems solution offers a Jurisdictional Expansion Module (JEM), which allows firms to customise the thresholds and requirements for a specific country. By using this JEM interface, organisations can add rules and requirements for any jurisdiction in order to create a platform that streamlines the reporting process.

Coupled with Compliance Passport's Shareholding Disclosure tool, firms can quickly expand the monitoring and alert capabilities of our powerful Regulatory Reporting Systems solution.  For example:, our Shareholding Disclosure tool provides easy access to the reporting requirements for Egypt. By building the regulatory requirements for Egypt through JEM, a firm can easily and effectively begin tracking its disclosure obligations through Compliance Passport's Regulatory Reporting Systems.

To learn more about Compliance Passport's Regulatory Reporting Systems and Shareholding Disclosure tools, please contact us at 0800 840 1160 or email us at UKSales@wolterskluwer.com.