Service documentation
Monitoring
| Product | Subs. Required | Description | |
|---|---|---|---|
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Shareholding Disclosure (SD) | aosphere Rulefinder | Automated monitoring of disclosure requirements for major shareholding, short selling, takeover panels and issuer thresholds |
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Sensitive Industries (SI) | SD | Automated monitoring of regulatory threshold for sensitive industries and foreign ownership |
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Position Limits (PL) | FIA Tech Databank (PLD, EOPLD) | Automated monitoring of position limits on derivative contracts which are imposed by exchanges across the globe as well as regulators (e.g. CFTC, ESMA via MiFID II) |
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Investment Monitoring (IM) | SD | Automated monitoring of internal guidelines, risk, tax and all other non regulation-based rules |
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Poison Pills (PP) | SD | Automated issuer screening to identify holdings with shareholder rights programs |
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Pre-Trade (PT) | SD / PL | Aggregated pre-trade or intra-day checks across all positions, all portfolios, all funds |
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Sanctions (SANC) | SD | Automated screening to identify holdings in sanctioned issuers |
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US Bank Holding Company Act (BHCA) | SD | Automated monitoring for Bank Holding Company Act thresholds |
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US Monitoring Plus (USM) | SD | Various rules which are not supported by aosphere: Hart-Scott-Rodino (HSR), Section 12D, and FIRPTA |
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UCITS | SD | Automated UCITS investment restrictions monitoring |
Reporting
| Product | Description | |
|---|---|---|
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Filing Manager (FM) | The Filing Manager service provides access to tools that support the sending and receipt of messages to and from regulators. |
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AIFMD Annex IV (AIV) | The AIFMD Annex IV service enables management and generation of Annex IV reports pursuant to AIFMD. |
Data
| Product | Subs. Required | Description | |
|---|---|---|---|
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Issuer Thresholds | SD | FundApps monitored and maintained issuer threshold data, integrated into Shareholding Disclosure checks |
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Corporate Actions (CA) | SD | Using an industry leading corporate actions dataset, the Corporate Actions service helps reduce the risk of missing important events that can change data used in critical calculations. |
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Data Adapter (ADA) | SD / PL + Bloomberg (DLWS) / Refinitiv (DSS) | Creates a FundApps formatted XML file from uploaded positional data and 3rd party market data. |
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Composite enrichment (COMP) | SD | Enriches constituent weighting data for ETFs and Indices where you directly hold the underlying. |
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13f-2 Threshold Data Integration | SD | Leverage additional EDGAR data provided by Share Disclosure Limited for US 13F-2 short position reporting requirements, built directly into FundApps. |