Regulatory Reporting


AIFMD Annex IV

AQMetrics complete Alternative Investment Fund Managers Directive (AIFMD) reporting package for asset managers and their funds leaves asset managers to concentrate on their core investment activities whilst ensuring they are fully compliant with AIFMD Annex IV reporting obligations. Under AIFMD alternative asset managers are required to provide regulators with detailed reports for their companies as well as for the funds they manage or promote. This involves aggregation of extensive amounts of data from numerous sources and adapting it to different reporting formats, managing “seasonal” resource peaks in order to meet quarterly deadlines and building up regulatory expertise to provide follow-up to local regulators in multiple countries. AQMetrics provides a complete “A-Z” reporting software including data consolidation from third parties, such as the fund administrator, and the preparation of AIFMD compliant reports for the full range of funds and a consolidated report for the asset management company. AQMetrics files Annex IV reports with the relevant regulators in the countries where the funds are either managed or promoted and then deals with any requests from the regulator concerning these reports. Dedicated teams of AQMetrics experts advise and accompany their asset management clients throughout the entire reporting procedure, ensuring that they are fully compliant with the requirements of traceability, auditability and transparency imposed by the AIFMD directive.


Form CPO PQR

The Commodity Futures Trading Commission (CFTC) requires Commodity Pool Operators (CPOs) to file Form CPO-PQR. Navigating the complex CPO-PQR can be challenging for CPOs. AQMetrics automated reporting and filing system ensures that AQMetrics clients overcome the CPO-PQR challenges in an efficient, transparent and cost effective manner. AQMetrics CPO-PQR solution is available to Commodity Futures Trading Commission (CFTC) registered commodity pool operators (“CPOs”) and Commodity Futures Trading Commission (CFTC) registered commodity trading advisors (“CTAs”). AQMetrics provides data onboarding, enrichment and aggregation to meet CPO-PQR requirements. Completion of Form CPO-PQR with AQMetrics meets both the CFTC and the NFA’s rules. The filing requirement requires CPOs to provide portfolio, performance and risk information about their funds. This involves aggregation of extensive amounts of data from numerous sources and adapting it to different reporting formats, managing “seasonal” resource peaks in order to meet quarterly deadlines and building up regulatory expertise to provide follow-up to the either the CFTC or the NFA. The size of the CPO determines whether filing is required by the CFTC or NFA. AQMetrics Form CPO-PQR is a single filing that can accommodate both regulators. AQMetrics provides a complete “A-Z” reporting software including data consolidation from third parties, such as the fund administrator, and the preparation of Form CPO-PQR compliant reports. AQMetrics files Form CPO-PQR reports with the CFTC and/or NFA and then deals with any requests from the regulator concerning these reports. Dedicated teams of AQMetrics experts advise and accompany CPOs throughout the entire reporting procedure, ensuring that they are fully compliant with the requirements of Form CPO-PQR.


Form PF

AQMetrics complete Form PF (for “private fund”) reporting package for investment advisers registered with the SEC that advise private funds having at least $150 million in assets under management. This leaves investment advisors to concentrate on their core investment activities whilst ensuring they are fully compliant with Form PF reporting obligations. Under Form PF investment advisers are required to provide regulators with detailed reports for their companies as well as for the funds they manage or promote. This involves aggregation of extensive amounts of data from numerous sources and adapting it to different reporting formats, managing “seasonal” resource peaks in order to meet quarterly deadlines and building up regulatory expertise to provide follow-up to the SEC. AQMetrics provides a complete “A-Z” reporting software including data consolidation from third parties, such as the fund administrator, and the preparation of Form CPO compliant reports for the full range of funds and a consolidated report for the investment adviser. AQMetrics files Form PF reports with the SEC and then deals with any requests from the regulator concerning these reports. Dedicated teams of AQMetrics experts advise and accompany investment advisers throughout the entire reporting procedure, ensuring that they are fully compliant with the requirements of Form PF.


FATCA

The Foreign Account Tax Compliance Act (FATCA) requires all foreign financial institutions (FFIs) and any other financial intermediaries to report and disclose U.S. assets in their accounts. From 2015 FFIs are required to report to either the IRS or their local tax authorities on reportable accounts. AQMetrics FATCA reporting solution ingests data from multiple sources, contextualises and enriches the data as new linkages, sources and information becomes available. AQMetrics FATCA Report templates are populated with the


Form 13F - Shareholder Disclosures

AQMetrics complete Form 13F reporting package for institutional investment managers that use the U.S. mail in the course of business, and exercise investment discretion over $100 million or more in Section 13(f) securities. This leaves institutional investors to concentrate on their core investment activities whilst ensuring they are fully compliant with Form 13F reporting obligations. Under Form 13F institutional investors are required to provide the SEC with detailed reports of the name and class of each 13F security, the CUSIP number, the number of shares as of the end of the calendar quarter for which the report is filed, and the total market value. This involves management of extensive amounts of data from numerous sources and adapting it to different reporting formats, managing “seasonal” resource peaks in order to meet quarterly deadlines and building up regulatory expertise to provide follow-up to the SEC. AQMetrics provides a complete “A-Z” reporting software including data consolidation from third parties, such as the fund administrator, and the preparation of Form 13F compliant reports for the full range of 13F securities. AQMetrics files Form 13F reports with the SEC and then deals with any requests from the regulator concerning these reports. Dedicated teams of AQMetrics experts advise and accompany institutional investors throughout the entire reporting procedure, ensuring that they are fully compliant with the requirements of Form 13F.