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

SEC Rule 13f-2: Implications for Investment Managers and Technology

The SEC has recently adopted Rule 13f-2, a measure aimed at improving transparency in the equity markets by focusing on short-selling activities. The rule, set to take effect in early 2025, requires investment managers to report detailed data on their short positions and activities each month through the newly introduced Form SHO. In this blog, we delve into what Rule 13f-2 entails and its implications for investment managers and technology.

Key Changes to SEC Form PF Section 4: What Large Private Equity Advisers Need to Know

The SEC's recent amendments to Form PF Section 4 bring significant changes to the annual reporting requirements for large private equity fund advisers. Our latest blog explores these updates, detailing their implications for transparency and systemic risk monitoring within the private equity industry.

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.

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.

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.

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.

Changes Ahead? What’s Next for Rule 13F

For US-based funds there could soon be other changes coming down the line, particularly to the longstanding 13F rule.