FundApps Services
Monitoring
| Service | Required | Description |
|---|---|---|
 Shareholding Disclosure |
aosphere Rulefinder | Disclosure requirement monitoring for major shareholding, short selling, takeovers & issuer thresholds |
 Sensitive Industries |
SD | Regulatory threshold monitoring for sensitive industries and foreign ownership |
 Position Limits |
FIA Tech [EO]PLD | Exchange / regulator imposed position limit monitoring on derivatives (e.g. CFTC, MiFID II) |
 Investment Monitoring |
SD / PL / UCITS | Internal guidelines, risk, tax and all other non regulation-based rule monitoring |
 Poison Pills |
SD | Issuer screening to identify holdings with shareholder rights programs |
 Pre-Trade |
SD / PL | Aggregated pre-trade or intra-day checks across all positions, all portfolios, all funds |
 Sanctions |
SD | Screening to identify holdings in sanctioned issuers |
 US Bank Holding Co. Act |
SD | Bank Holding Company Act threshold monitoring |
| US Monitoring Plus |
SD | Rules which are not supported by aosphere: Hart-Scott-Rodino (HSR), Section 12D, and FIRPTA |
 UCITS |
Nothing | Monitoring of UCITS investment restrictions |
| AIFMD |
Nothing | Monitoring of AIFMD investment restrictions |
Reporting
| Service | Required | Description |
|---|---|---|
 Filing Manager |
Nothing | Automated generation and filing of documents with regulators |
 AIFMD Annex IV |
Nothing | Manage, generate & file AIFMD Annex IV reports |
| Form PF |
Nothing | Coming Soon! Manage, generate & file Form PF reports |
Data
| Service | Required | Description |
|---|---|---|
 Issuer Thresholds |
SD | FundApps monitored & maintained issuer threshold data, integrated into SD checks |
 Corporate Actions |
SD | Reduce the risk of missing important events involved in SD/SI |
 Data Adapter |
SD / PL + BB DLWS / LSEG DSS |
Creates a FundApps formatted XML file from uploaded position data & 3rd party market data |
 Composite Enrichment |
SD | Enriches constituent weighting data for ETFs & Indices where the underlying is directly held |
| 13f-2 Threshold Identification |
SD | Additional EDGAR data provided by SDL for US 13f-2 short position reporting requirements |