Form PQR

Asset management operating models ready for change says Confluence

Data maven Confluence’s latest asset management trend survey suggests regulation will drive fundamental change in the respondent firms’ back office automation and regulatory reporting requirements. In its 2017 Asset Management Trend Survey of asset management professionals, Confluence says that while the concerns voiced by respondents echo those of the 2016 survey, this year’s study finds […]

SS&C GlobeOp’s Regulatory Solutions Group Celebrates Five Year and 500 Client Milestone

SS&C Technologies Holdings, Inc. (Nasdaq: SSNC), a global provider of financial services software and software-enabled services, today announced that the SS&C GlobeOp Regulatory Solutions Group has launched several new high performance solutions designed to improve data and portfolio management, performance reporting, and investment qualification processes for funds and asset managers to complement compliance with global […]

Accountancy services with the personal touch

The hedge fund industry has experienced significant forces of change in recent years, mostly driven by market regulation in the form of FATCA and the Dodd-Frank Act placing Form PF and CPO-PQR reporting obligations on firms.  This has led to far greater complexity with respect to operational compliance and prompted a wide universe of service […]

The Financial Report, 13 October 2016, US Exchanges and Self-Regulatory Organizations

NYSE reminds members of changes to Rule 4530 reporting procedures. The New York Stock Exchange LLC reminded members of their obligations under Rule 4530 to self-report potential misconduct concerning securities, investment and other financial-related matters. In light of recent regulatory changes, NYSE members who are also members of FINRA should continue to file disclosure reports with […]

Advise Technologies Releases TIC Form Filing Software

Advise Technologies, an industry leading provider of regulatory reporting software, is pleased to announce the addition of TIC Form D and TIC Form SHC to the growing list of TIC Form offeringson its Consensus RMS platform. With the addition of TIC Form D and TIC Form SHC, Consensus RMS now supports over 20 global regulatory […]

NFA Proposes Requiring CPOs And CTAs To Report Financial Condition

The NFA proposed amending Compliance Rule 2-46 and adopting Interpretive Notice: “NFA Compliance Rule 2- 46: Reporting Financial Information on NFA Forms PQR and PR,” that requires commodity pool operators (“CPOs”) and commodity trading advisers (“CTAs”) to report on Forms PQR and PR the two ratios that would provide NFA with information on their financial […]

Financial Services Update, vol. 11, no. 24

Insights from Winston & Strawn With the second quarter of 2016 coming to a close, investment advisers should consider certain mid-year compliance items.  A brief summary of certain such compliance items is provided below. Quarterly transaction reports. Advisers should confirm that their Chief Compliance Officer or other compliance personnel will be receiving and reviewing the […]

NFA Imposes Late Fee for Form PQR and PR Filings

National Futures Association (NFA) has implemented a late fee on commodity pool operators (CPOs) and commodity trading advisors of $200 for each business day after the due date that a quarterly NFA Form PQR or PR is filed. The late fee will apply to all late-filed NFA Forms PQR and PR dated September 30, 2016 […]

Solutions Atlantic Offers Top 5 Tips for Buy-Side Participants to Make Complying with Market Regulations Easier and Less Prone to Error

The recent dramatic spike in the number and complexity of regulatory reporting guidelines, has left buy-side firms and administration companies worldwide scrambling to keep up with changes in order to minimize risk and avoid costly filing errors. Recent independent surveys show that one of the main challenges buy-side participants face today is adapting to new […]

The Financial Report – Volume 5, No. 2 – January 2016 (Global)

IN THIS ISSUE •  Discussion and Analysis •  News from the Americas •  US Securities and Exchange Commission Developments •  US Commodity Futures Trading Commission Developments •  US Banking and Treasury Department Developments •  US Judicial Developments •  US Exchanges and Self-Regulatory Organizations •  News from Asia and the Pacific •  News from Europe •  […]