FundApps Services
Monitoring
| Service | Required | Description |
|---|---|---|
Shareholding Disclosure
|
aosphere Rulefinder | Disclosure requirement monitoring for major shareholding, short selling, takeovers & issuer thresholds |
Sensitive Industries
|
aosphere Rulefinder | 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
|
Nothing | 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
|
Nothing | Screening to identify holdings in sanctioned issuers |
US Bank Holding Co. Act
|
SD | Bank Holding Company Act threshold monitoring |
|
US Reverse CFIUS
|
SD | US Reverse CFIUS 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 FCA
|
Nothing | Manage, generate & file AIFMD Annex IV FCA reports |
Form PF
|
Nothing | Manage, generate & file Form PF reports |
Data
| Service | Required | Description |
|---|---|---|
Data Adapter
|
SD / PL + BB DLWS / LSEG DSS |
Creates a FundApps formatted XML file from uploaded position data & 3rd party market data |
Data Path
|
Nothing | Data Transformation & integration for FundApps services |
Composite Enrichment
|
SD | Enriches constituent weighting data for ETFs & Indices where the underlying is directly held |
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 monitoring/sd/SI |
|
LSEG Redistribution
|
SD / SI / PL | Direct access to LSEG market data via FundApps for SD, SI and PL |