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Regulatory Reporting:

Global Fund Services Provider Selects AQMetrics for Risk and Regulatory Reporting

This global fund services provider supports a variety of investment strategies and products, including mutual funds, alternative investments and exchange-traded funds.

This global fund services provider supports a variety of investment strategies and products, including mutual funds, alternative investments and exchange-traded funds. Servicing 609 fund families comprised of 3,432 portfolios, 4,274 fund classes, and 4.6 million shareholder accounts with $1.14 trillion in client assets, It is a subsidiary of the fifth largest commercial bank in the United States.

A consolidated platform to meet the global needs

4.6 million shareholder accounts

End-to-end automation, with a golden source of data

The Challenge

The fund services provider had multiple incumbent regulatory reporting solutions and was providing automated data feeds to third party providers. The firm had a strong-focus to continuously invest in advanced technology to enhance the reporting, data, and delivery capabilities to their customers. A consolidated platform to meet the global needs of their diverse customer base was key to their product and technology strategy.

The Solution

  • A consolidated platform for multi-jurisdictional risk and regulatory reporting.
  • Achieve end-to-end automation, with a golden source of data.
  • Provide their customers with access to a premium web-based solution that would enhance the workflow for risk and regulatory compliance.

The Results

AQMetrics provides the fund services provider and their customers with an on-demand, cloud-based software service for multi-jurisdictional risk and regulatory reporting. The intuitive workflow is tuned with their business operating model, allowing for two levels of approval – one within the fund services provider and one within the fund manager. AQMetrics automated validation ensures no issues at filing time. Ease of use, and streamlined processing has brought significant efficiencies, reducing filing time by more than 50%.

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