Client Case Studies

Our clients are leading global asset managers, fund administrators and depositary banks.

Below are some example case studies of how our clients benefit from working with us.

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 and prospectus rules 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 Reuters security data, including issued capital and voting rights data 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 as a fully managed basis. On a quarterly basis, 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 and 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 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 derivatives funds.

Data is aggregated each day from across multiple fund accounting platforms and 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

Cash Flow 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 transaction. Unusual and inconsistent cashflows are identified and tracked within the interactive system workflow.