RegTech isn’t just a concept, it’s a catalyst for real change. At Funds-Axis, we’ve seen first-hand how the right blend of regulatory expertise and technology can transform compliance from a burden into a strategic advantage. Here’s how RegTech works in the real world.
Case Study 1: Automating Compliance for a Global Fund Administrator
The Challenge:
A leading fund administrator needed to manage daily investment compliance for over 150 portfolios, each with unique regulatory and prospectus rules. Manual processes were slow, error-prone, and couldn’t keep up with the pace of regulatory change.
The Solution:
With Funds-Axis, all holdings data is aggregated from multiple fund accounting platforms. Our platform processes thousands of rules in under 10 minutes, providing complete coverage for UCITS, non-UCITS, and prospectus requirements, plus leverage and liquidity monitoring.
The Result:
- Fully automated compliance, every day
- Seamless AIFMD Annex IV reporting for 15 AIFMs and 60 AIFs
- No lengthy implementations or risky projects, just results
Case Study 2: Plug-and-Play Reporting for a Medium-Sized Asset Manager
The Challenge:
This client managed over 100 portfolios across UK, Irish, and US funds. They needed daily compliance checks and quarterly regulatory reporting, without the overhead of a major IT project.
The Solution:
Funds-Axis delivered a solution that auto-uploads all holdings and security data by 7am, with rules processing completed in minutes. The client chose an on-premise deployment, but still benefited from our pre-defined rule libraries and automated workflows.
The Result:
- Daily compliance for all regulatory and prospectus rules
- Quarterly AIFMD Annex IV reporting, fully automated
- Minimal disruption, maximum efficiency
Case Study 3: Scalable Compliance for a Global Custodian
The Challenge:
A global custodian needed to provide investment compliance for over 1,000 portfolios across multiple jurisdictions. The scale and complexity were daunting, especially with complex derivatives funds in the mix.
The Solution:
Our platform aggregates data from internal and external sources, with security data from Bloomberg. Over 50,000 rule applications are processed in under 15 minutes, supporting business users in the UK, Ireland, Luxembourg, and the Netherlands.
The Result:
- Scalable, multi-jurisdictional compliance
- Real-time oversight and reporting
- Business users empowered to manage data, operations, and regulatory analysis
What Do These Stories Have in Common?
- Speed: Compliance checks and reporting that used to take days now happen in minutes.
- Simplicity: No more lengthy projects, business analysis, or custom builds, just plug-and-play solutions.
- Confidence: Every calculation, rule, and report is fully documented, auditable, and regulator-aligned.
RegTech isn’t just about technology, it’s about outcomes.
At Funds-Axis, we’re proud to help our clients turn compliance into a competitive advantage.
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