WE PROVIDE AN OUTSOURCED UCITS ELIGIBLE ASSETS CHECKING SOLUTION FEATURING AUTOMATED CONTROLS PLUS MANUAL ANALYSIS.

This includes full assessment of all asset types in accordance with the provisions of the UCITS Directive, Eligible Assets Directive and ESMA Guidelines, including for:

  • Transferable securities
  • Close-ended funds
  • Money Market instruments
  • Open ended UCIs
  • Financial derivatives instruments
  • Embedded derivatives
  • Deposits
  • Indices
  • EPM techniques and instruments

AUTOMATED MONITORING

Monitoring high volumes of instruments using quantitative criteria, via our Investment Compliance solution. Includes identification of new instruments invested into and workflow for asset eligibility assessments.

Data Sources used to identify potentially ineligible assets include:

  • Market data for fund types, asset type, issuer, exchange section / unlisted status, trading volumes, credit rating, price spreads, days since last price and maturity dates.

  • Independent analysis – UCITS equivalence, 10% check, independent custody, index eligibility.

Cost: Investment Compliance Monitoring costs apply.

MANUAL ANALYSIS

Manual analysis and review of UCITS asset eligibility at specific instrument level:

  • Eligibility of assets for UCITS is checked according to ESMA requirements; and

  • Fully documented and transparent process, including detailed decision tree documentation.

We have reviewed hundreds of CIS, structured products and indices for managers, depositaries and product providers.

Cost: Variable, depending on the complexity of the instrument and the level of documentation required.

TO FIND OUT MORE ABOUT OUR ELIGIBLE ASSETS CHECK SERVICES SOLUTION OR TO BOOK A DEMO, PLEASE CONTACT US ON +44(0)28 9032 9736 OR INFO@FUNDS-AXIS.COM

+44 (0)28 9032 9736     CONTACT US