liquidity-tick

INTERACTIVE
REAL-TIME REPORTING

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TIME-SERIES
REPORTING

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ALL
CALCULATIONS

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FULL
TRANSPARENCY

Full Coverage of Part 2 Investment Restrictions

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    Concentration restriction
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    Control restriction
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    Restrictions on types of investments
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    Illiquid assets
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    Fund-of-fund investments
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    Borrowing
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    Short-selling
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    Cash cover required for short sales
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    Total borrowing and short-selling
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    Derivatives Counterparty exposure
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    Cover required – Derivatives for non-hedging purposes
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    Leverage
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    Securities lending, repurchase and reverse repurchase arrangements

Canada NI 81-102 – Investment Funds Compliance Monitoring Software

With our Canada NI 81-102 – investment funds compliance monitoring software, we offer out-of-the box coverage of Canada NI 81-102 – investment funds restrictions.

On 3rd January 2019, the final rules enabling fund managers to use alternative strategies in funds offered to retail investors entered into force.

The final rules amend provisions in National Instrument 81-102 Investment Funds (“NI 81-102”) and related National Instruments that previously applied to conventional mutual. Under the new rules, a new category of mutual funds, known as “alternative mutual funds”, are permitted to be offered to retail investors through a short-form prospectus.

Funds-Axis offer fully automated investment compliance monitoring for National Instrument 81-102 Investment Funds limits, including the proposals in respect of “Alternative Funds”.

How it works

Upload

Upload Holding Transaction files using a uniform upload process.

Process

Holdings get verified against NI 81-102 Rules.

Submit

View results on dashboard. Export results. Receive email alerts.

Investment Compliance Insights

Request a Demo

For more information or to see a demo of our Canada NI 81-102 – Investment Funds Compliance Monitoring Software, please complete the form below. A member of our team will contact you as soon as possible.

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