About Us • Funds-Axis Limited

About Funds-Axis

Funds-Axis is an investment management regulatory technology software company, with a unique combination of regulatory expertise and best-of-breed technology.

We are taking the complex challenges with risk, compliance and regulatory reporting and are making them very simple.

For investment managers and depositaries having to comply with increasing demands for investment compliance, risk and regulatory reporting, our solutions enable you to quickly meet the regulatory requirements without the need for costly implementations and risky projects.

We help you to meet your regulatory obligations at a lower cost, lower risk and in a shorter time-frame compared to our competitors or if you develop an in-house solution. We also provide fully managed outsourcing services, which enables you to transform your internal cost base.

Our Philosophy

We strive to have a reputation for first class products and services. Below is a summary of our strategic objectives:

To be a market leader in the area of investment compliance, risk and regulatory reporting for the global investment management industry;

To provide our customers with best-of-breed regulatory technology;

To be recognised by our customers as a trusted source of regulatory information;

To deliver outstanding service to our customers;

To have strong long-term relationships with our customers;

To ensure high levels of efficiency and automation in both our products and services in order to be able to deliver cost effective solutions;

To provide our employees with the training, support and opportunities to meet their career goals;

To be an exciting and fun to work for employer, which properly incentivises and rewards employees for their contributions.

Funds-Axis - A UNIQUE ANGLE

The Earth sits at a 23.4 degree angle on its axis. We take a similarly unique angle.

We are creative, original and memorable. We adopt interesting ways to think about what we do, turning the familiar into something fresh. We oﬀer unique insight and perspective. We are intelligent and innovative. We know that the companies who think smart and are most comfortable with change are the ones that survive and win. We aren’t afraid to aim high.

We are confident and precise. We know what we’re talking about. We’re not arrogant, but we are robust and unambiguous. We know that clarity and transparency matters. We value simplicity and untangling complexity.

Client Case Studies

CASE STUDY 1

Shareholder Disclosures Monitoring for a medium-sized asset manager

For this client, every day, we aggregate data from 8 different third party administrators and over 500,000 positions relating to segregated clients.

Having aggregated all the holdings, rules are processed in less than 10 minutes to provide complete coverage of UCITS, prospectus and shareholder disclosure rules.

The solution is available on a fully managed basis, with our team providing the full managed service, including shareholder disclosures validation.

CASE STUDY 2

Shareholder Disclosures for a single fund hedge fund manager

For this client, we receive directly from their Administrator a simple file containing just Fund Code, ISIN and Quantity.

We enrich the positions with Refinitiv security data, including issued capital, voting rights and takeover disclosure data. Each day the rules process in seconds identifying new shareholder disclosures for large shareholding, short selling and takeover dealing disclosures.

We validate the disclosure results and the auto-generated reports.

CASE STUDY 3

UCITS Investment Compliance and AIFMD Annex IV for a large Administrator

This Administrator has c. 150 funds. Every day we aggregate data from multiple different fund accounting platforms.

Having aggregated all the holdings, rules are processed in less than 10 minutes to provide complete coverage of UCITS, non-UCITS and prospectus rules, together with leverage and liquidity monitoring.

The solution is made available on a fully managed basis. Every quarter the client utilises the solution to support fully automated AIFMD Annex IV Reporting for 15 AIFMs and 60 AIFs.

CASE STUDY 4

UCITS and 1940 Act Investment Compliance for a medium sized asset manager, plus AIFMD Annex IV Reporting

This client has over 100 portfolios including UK and Irish UCITS, non-UCITS and US ‘40 Act funds. The client requires daily investment compliance for all of the regulatory and prospectus rules, plus quarterly AIFMD Annex IV Reporting. Every day, all holdings and security data is auto-upload by 7am, via straight-through-processing. Rules processing takes less than 10 minutes. The client chose to have the solution installed on their internal servers. On a quarterly basis, the client uses the system to support all of its AIFMD Annex IV Reporting obligations.

CASE STUDY 5

Investment Compliance for a large global custodian

For this client, we provide investment compliance for over 1,300 portfolios. This includes complex derivative funds.

Data is aggregated each day from across multiple fund accounting platforms with security data brought in from Bloomberg. Files are auto-uploaded and then over 50,000 rule applications are processed in under 15 minutes.

The system is deployed on the client’s own servers and is accessed by business users from multiple jurisdictions.

CASE STUDY 6

Cashflow Monitoring, Investment Compliance and Independent Register of Non-Custody Assets for a Depositary Lite provider

For this client, every day over 30 different holdings, transactions and cash flow files are aggregated within the solution. This includes files from Administrators, Custodians and Prime Brokers.

We fully support investment compliance, leverage and liquidity monitoring, and independent record of non-custody transactions. Unusual and inconsistent cashflows are identified and tracked within the interactive system workflow.