Signal Investment Monitoring
Streamline regulatory compliance by automating investment monitoring and disclosures
Monitor investments for position limits and sensitive industries in Equities, Equity Derivatives, Commodity derivatives and to comply with regulations such as Shareholding Disclosures.
- Apply the most comprehensive legal data on shareholder obligations available.
- Automate monitoring and shareholding disclosure for beneficial ownership thresholds across 100+ jurisdictions.
- Perform daily position limit monitoring across 75+ products traded on 50+ exchanges, including CFTC, MiFID II, and the 13f-2 short sale rule.
- Evaluate foreign investment restrictions and industry-specific limits for sensitive industries across 99+ jurisdictions.
- Customize warnings on approach and violation of reportable thresholds.
- Scale to address the needs of complex portfolios.
- Designed to support the full spectrum of fund types—including UCITS, Investment Company Act funds, and the fast-growing alternative fund market.
Flexible Signal platform
Streamline investment monitoring and disclosures.
Access the industry’s most comprehensive data on shareholding disclosure obligations
Confluence regulatory guidance experts plus a collaboration with aosphere ensures the most robust and current insight available.
Monitor across various portfolio investment vehicles
Day-to-day tracking for equities, and equity and commodity derivatives are provided through a single efficient platform.
Integrate workflow alerts and filing notifications
Daily and intra-day processing generates custom position limit shareholder disclosure alerts for high-volume portfolios.
Conduct comprehensive position limit monitoring
Signal includes pre and post trade, headroom, order response/check, and spot-calendar views, drill down to portfolio-level detail, and allows users to customize alerting to portfolio needs.
Managed Services
Professional services for consulting and implementation are available.
Automatically generate notification forms
140+ pre-populated forms make it simple to accelerate compliance.
Perform shares outstanding assessments
Signal leverages up to six sources to determine the best number to use during threshold analysis.