Unity NTX Regulatory Reporting

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Overview

Our regulatory reporting solutions provide accuracy and control over the challenging data management and filing requirements associated with meeting regulatory reporting demands, including AIFMD, Form PF, Form CPO-PQR, Form N-MFP and Form N-SAR.

Related Products

  • Unity NXT AIFMD Transparency Reporting
  • Unity NXT Form CPO-PQR Reporting
  • Unity NXT Form PF Reporting
  • Unity Form N-MFP
  • Unity Post-Trade Compliance

Key Features

Unity NXT AIFMD Transparency Reporting is a technology-enabled solution that ensures completeness, accuracy and control over the entire AIFMD reporting process. The Alternative Investment Fund Managers Directive (AIFMD) affects asset management companies that manage an Alternative Investment Fund (AIF)* domiciled or marketed in the European Economic Area (EEA). One of the key features of the Directive is the AIFMD Transparency Report, which requires Alternative Investment Fund Managers to provide regular, detailed reporting regarding their investment strategy and activities, assets, transactions, risks and business relationships.

With over 400 data points to be collected from a variety of internal and third-party systems, the AIFMD Transparency Report is a complex undertaking for even the most seasoned asset managers. From the collection of data, the calculation of answers, the approval of the report form contents, to the transmission of the filing, we offer a truly collaborative environment for producing the AIFMD Transparency Report.

Unity NXT Form CPO-PQR Reporting - Form CPO-PQR requires registered Commodity Pool Operators to report a wide range of data to the CFTC and the NFA. This data includes investment strategy, asset classes, risk metrics, collateral, counterparty credit exposure, and the use and levels of leverage, among many other aspects of their operations and depending upon the size and type of adviser, commodity pool operators are required to file either annually or quarterly.

The Confluence team has been solving challenging data integration and data reporting problems for the alternative investment industry for more than a decade. As the leading provider of Form PF and AIFMD reporting solutions, we have the experience and the technology to provide commodity pool operators with a cost-effective response to the Form CPO-PQR reporting obligation. As part of the Regulatory Reporting platform, our technology-enabled Unity NXT Form CPO-PQR Reporting solution ensures completeness, accuracy and control over the entire Form CPO-PQR reporting process and allows you to meet the Form CPO-PQR reporting challenge with confidence.

Unity® Form N-MFP - The Securities and Exchange Commission's (SEC) Money Market Fund Reform release IC-29132 created substantial reporting challenges for administrators of U.S. money market mutual funds, increasing the frequency of reporting by requiring money market fund securities and holdings data to be published on the company's website and submitted to the SEC within five days of the end of each month. The release also requires that the data be delivered using the Form N-MFP via eXtensible Markup Language (XML).

As part of the Regulatory Reporting platform, Unity Form N-MFP automates the preparation and filing of the SEC's required XML Form N-MFP and repurposes the same content to create and deliver the required website reporting. As a result, fund administrators can cost effectively meet the securities and holdings reporting requirements of the new rule, while being assured of the accuracy of report data in any delivery channel.

Unity Post-Trade Compliance - As part of the Regulatory Reporting platform, Unity Post-Trade Compliance ensures data integrity and independent oversight of the post-trade compliance process and is designed specifically to enable the back office to automate the process of collecting and managing portfolio holdings and security data, creating restrictions, confirming test results, and delivering the test results and exceptions to users such as fund managers, compliance executives, board members, auditors and regulators. Reduce costs, eliminate risk, elevate service levels and increase scalability, while giving your organization a cost-effective and scalable solution.

Unlike manual processes or other compliance systems not designed solely for fund administrators, Unity Post-Trade Compliance is a cost-effective system for post-trade compliance data management and compliance testing. And, because it is designed for easy set up and maintenance by the business users, Unity Post-Trade Compliance frees business users from dependence on IT staff and gives them greater control and speed over post-trade compliance processes.

Key Benefits

  • Leverage the restriction rules library for standard and prospectus compliance testing
  • Automate compliance testing to provide increased frequency, including daily results and exceptions reporting
  • Provide your Compliance Executive and Board with peace of mind knowing that portfolios and funds are in compliance with required investment limit restrictions
  • Reduce manual error with an automated end-to-end process of data collection, reporting and filing
  • Increase efficiency with Unity Form N-MFP source content tagging model
  • Ensure monthly filing and publication deadlines are met through an automated workflow
  • Allow disparate departments to collaboratively share, complete and review each answer, each section, and the entire filing
  • Ensure accuracy by validating reports with a series of alerts, checks, validations and approval procedures
  • Enable filing to multiple jurisdictions in the required local report and file formats