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Latest News and Regulatory Insights

Expertly crafted resources from AQMetrics for our partners and customers



Insightful updates and expert analysis on regulatory compliance and risk management.

Is Your MiFID II Transaction Reporting at Risk?

In this blog, we explore the complexities of MiFID II transaction reporting, the challenges of back reporting errors, and how to ensure accuracy and compliance with AQMetrics' advanced solutions. Discover how to streamline your reporting process and avoid costly remediation efforts.

Upcoming Changes in Australian Transaction Reporting: CP 375 Derivatives Reporting Overview

The derivative transaction reporting regime in Australia is changing under the Australian Securities & Investments Commission (ASIC)’s Third Consultation 375. The updated reporting rules are scheduled to commence on 21 October 2024. As part of our Emerging Regulations Watch series, we delve into the details of the upcoming Australian Transaction Reporting regime changes and analyze how they affect filings.

Bracing for Impact: The Heavier Burden of Form PF Compliance on Private Funds

In the wake of amendments to Form PF introduced by the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC), and set to take effect on March 12, 2025, private funds—especially hedge funds—are at the threshold of adapting to a revamped regulatory environment.

Mise en Conformité avec la Circulaire 24/856 Investment Breach Monitoring – Plus de Temps à Perdre

Le monde financier évolue sans cesse, porté par de nouvelles réglementations. Avec notre série de blogs "Veille réglementaire", bénéficiez de notre expertise. Nous partageons nos analyses et conseils pour naviguer avec succès dans cet environnement a l’équilibre instable.

Get Ahead of Circular 24/856 Investment Breach Monitoring Before It's Too Late

The global financial landscape is constantly shifting, and new regulations and amendments are often the driving force. With decades of experience in navigating the complexities of multi-jurisdictional regulatory changes, we are equipped to guide you through the maze with our blog series: Emerging Regulations Watch, where we provide insights & analysis on new rules as they emerge.

SEC's 13D & 13G Filing Requirements: A Quick Guide to the 2024 Amendments

In a significant move that heralds a new era in securities regulation, the U.S. Securities and Exchange Commission (SEC) has amended the reporting rules for beneficial ownership under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934. The amendments, announced in October 2023, bring about substantial changes to the filing deadlines for Schedule 13D and Schedule 13G, marking the first adjustment in nearly half a century.

In this blog, we delve into the details of the SEC's 13G and 13D amendments and analyze how they affect filings.

Exploring Regulatory Reporting Challenges in Investment Firms

Compliance officers, finance directors, and chief operations officers were asked to rank their regulatory reporting priorities, revealing streamlining data collection as the top concern, closely followed by accuracy and regulatory updates. This article delves into the importance of these priorities and addresses how the AQMetrics end-to-end regulatory reporting platform provides a comprehensive solution.

In the Spotlight: SEC's Latest Form PF Amendments & Implications for Private Funds

As part of our ongoing Emerging Regulations Watch series, we delve into the Securities and Exchange Commission's (SEC) recent amendments to Form PF. These amendments mark a pivotal moment in private fund reporting, aiming to bolster regulatory oversight and systemic risk monitoring. Keep reading as we dissect the implications of these changes for private funds and advisers, providing insights to help you navigate them.

MMMF Regulatory Reform: New Liquidity Risk Challenges for MMFs

The global financial landscape is constantly shifting, and new regulations and amendments are often the driving force. With decades of experience in navigating the complexities of multi-jurisdictional regulatory changes, we are equipped to guide you through the maze, by introducing our new blog series: Emerging Regulations Watch, where we provide insights & analysis on new rules. Kicking off this series, we set our sights on the Money Market Mutual Fund (“MMMF”) Regulatory Reform and the challenges this places on Money Market Funds (“MMFs”) with regard to Liquidity Risk Control.

Navigating DORA: What AIFMs need to do now.

This blog sets out the main steps AIFMs need to take over the next twelve months and simply sums up what AIFMs must do to comply with DORA.

Emerging Regulations Checklist for 2024

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.

MiFID II Transaction Reporting Q&A: How to Extract, Reconcile and Manage Your Data with AQMetrics ARM

How to extract, reconcile and get the most of your MiFID II transaction reporting data using the AQMETRICS ARM.

MiFID II Reporting Migration FAQs: A Guide to Seamless Transition

Embarking on a MiFID II transaction reporting migration? Discover a comprehensive guide to seamlessly navigating this process. Learn about the benefits and considerations of switching ARMs, streamlining the migration process, protecting sensitive data, and leveraging AQMetrics' differentiated approach. Empower your firm with enhanced regulatory compliance.

Rule 13f-2 Explained: What Asset Managers Need to Know

The recent adoption of Rule 13f-2 by the Securities and Exchange Commission brings new transparency to short selling practices. Our latest blog delves into the critical aspects of this new rule, underscoring the need for an effective compliance strategy.

Mastering SEC’s 13F Filings: Navigating Regulatory Compliance

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.

Liquidity Risk: Will Vertical Slicing Become the New Norm?

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”.

Seamless MiFID II ARM Migration: What You Need to Know.

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.

Simplify Regulatory Reporting in Ireland with AQMetrics: Enhanced Compliance and Efficiency for EMI/PIs

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.

Understanding Form PF Amendments: Implications for Large Hedge Fund Advisers

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.

Dear Chair: ESMA's Latest Technical Guidance on AIFMD Reporting Explained

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.

The SFDR Burden is Increasing for Asset Managers

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.