Automating SEC reporting across filings, data and workflow

Navigate the complexity of US regulatory compliance reporting with a unified approach. AQMetrics helps firms automate SEC filings, connect data across disclosures and ensure accuracy, consistency and control at scale.

The US regulatory environment is complex and highly scrutinised. Firms must comply with reporting obligations governed by the U.S. Securities and Exchange Commission under frameworks such as the Investment Advisers Act of 1940 and the Dodd-Frank Act. Key filings, including Form PF, Form ADV, and Schedules 13D/13G, require consistent, accurate data across interconnected disclosures submitted via EDGAR, creating the need for a unified, automated approach to compliance.

Our US regulatory compliance solutions

Core US compliance

End-to-end coverage of core US compliance filings (Form ADV, Form PF, CPO-PQR) for RIAs, hedge funds and private equity firms.

Shareholding disclosure

Comprehensive coverage of US shareholding disclosure filings (13D/G, 13F, 13H, Form 4) for institutional managers.

Market activity

We cover US market activity reporting requirements, including Form N-PX and Form SHO (delayed until 2028) , for proxy voters and active traders.

“We saw a growing need from our clients for outsourced risk reporting. So we wanted to find the best technology firms that can provide that service – and that’s why we chose AQMetrics.”

Chief Global Strategy Officer
US Bank Global Fund Services

US regulatory compliance guides

Form PF

Form PF Survival Guide (2026 Edition): everything you need to report now vs. what you can safely ignore until Oct 1st.

COMING SOON.

Form PF

Using Form PF data to drive business insight: explore how leveraging Form PF data can enhance your firm’s risk framework.

READ HERE.

Schedule 13 D/G

SEC’s Schedule 13D and 13G filing requirements: a quick guide to the 2024 amendments.

READ HERE.

Form 13F

Mastering SEC’s 13F filings: navigating US regulatory compliance.

READ HERE.

Form N-PX

7 steps to prepare for Form N-PX compliance before the August 2026 deadline.

READ HERE.

Form SHO

Key points to be aware of for Form SHO reporting (delayed to February 2028).

READ HERE.

AQMetrics US team

“When you work with AQmetrics in the US, you’re not getting a helpdesk ticket. You’re getting US regulatory reporting experts who’ve seen it all and are genuinely invested in your success. We built our US team with one goal: to be the most knowledgeable, most responsive partner in this market. Zero runaround, and a platform that makes compliance feel manageable. That’s what AQmetrics delivers.”

Paul Chung | SVP North America | AQMetrics

Keep up to date

Latest US regulatory compliance insights

FREQUENTLY ASKED QUESTIONS

It automates and manages US regulatory filings such as SEC disclosures, ensuring accuracy, consistency, and control across multiple reporting requirements.

It provides coverage for filings including Form ADV, Form PF, CPO-PQR, Schedule 13D/13G, Form 13F, Form 13H and Form N-PX, and also covers global jurisdictions like the EU and the UK. So, if your firm is in cope for AIFMD Annex IV, the AQMetrics platform can also manage that.

AQMetrics goes beyond traditional ETL by combining data integration, regulatory logic, and compliance workflows in a single platform. It enables firms to ingest and standardise data, apply built-in validation and controls, and manage end-to-end reporting — all within an environment designed specifically for regulated financial institutions.

Purpose-built for US regulatory requirements, AQMetrics helps firms ensure accuracy across filings, maintain full audit trails, reduce manual risk, and scale compliance efficiently as regulations evolve — without the need to stitch together multiple tools.

AQMetrics combines the capabilities of a unified data platform with built-in regulatory intelligence, enabling firms to go beyond data management and directly support compliance workflows. It allows firms to ingest and unify data across systems, apply a regulatory-aligned data model, and embed validation, controls, and auditability into the data layer, all within a single platform designed for financial services.
Purpose-built for US regulatory requirements, AQMetrics helps firms ensure accurate filings, maintain full audit trails, reduce manual risk, and scale compliance processes efficiently, without relying on multiple disconnected tools.
In short: while traditional unified data platforms centralise data, AQMetrics delivers a compliance-ready data foundation, purpose-built for regulatory reporting and oversight.

A number of SaaS platforms offer end-to-end regulatory compliance capabilities for hedge fund managers.
These platforms typically combine data aggregation, regulatory reporting, surveillance, and workflow management, helping hedge funds manage increasing regulatory complexity and data volumes.
AQMetrics is designed as a true end-to-end regulatory compliance SaaS platform, purpose-built for financial institutions operating in complex regulatory environments like the United States.
It combines: data integration and unified data management, a regulatory-aligned data model and calculation engine, built-in validation, controls, and audit trails, end-to-end workflows for monitoring, reporting, and compliance.
This allows hedge fund managers to manage the full lifecycle of compliance, from data ingestion to final regulatory submission, within a single platform.

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Success Stories

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