facilitate compliance with various regulations. Importing: Load data from trading or accounting systems. Integration: Co
Signal Signal is a monitoring and reporting system, providing alerts and filings based on transactions and holdings thresholds. Several modules are available to facilitate compliance with various regulations.
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Modules
Common Features
Substantial Shareholding Automatic alerting and filing of major shareholding, takeover panel, and short selling disclosures in 89 jurisdictions
Importing: Load data from trading or accounting systems
Position Limits Tracking position limits and accountability levels on major exchanges
Audit Trail: Capture a full audit history with granular detail
Integration: Connect with most commercial or in-house systems
Delivery: Local or SaaS
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Substantial Shareholding Key Features: Verified Reference Data: Access a daily feed of high quality reference data (such as shares outstanding) sourced from regulators, exchanges, and directly from issuers
Shared Jurisdictional Rules: Coverage in 89 jurisdictions with shared rule sets Filing Submission: Instructions on the filing process and automated submissions ensure a repeatable and reliable workflow Signal can be customized with user defined alerts and rules can be modified to fit specific requirements.
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Broad Rule Coverage: Coverage of major shareholding, take-over panel and short selling thresholds
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Position Limits Key Features: Automated Alerts: View positions by product type or exchange with color-coded indicators Red – Violations Yellow – Warnings Position Tracking: Actively monitor current positions and limits to help ensure thresholds are not breached Aggregation: Automatically aggregate holdings across portfolios, entities, and related persons in accordance with the unique rules for each jurisdiction or regulator Market Data Translation: Product mapping from the market identification code (CUSIP, Ticker, ISIN, SEDOL) to the relevant exchange identification code
Set warning alerts at user defined levels, monitor accountability & reportable levels, view current positions relative to the limits, aggregate across ownership, and maintain compliance with the Position Limits module
Coming Soon: Support for MiFID II and proposed CFTC limits
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About Us Advise Technologies was founded in 2010 by former fund professionals, regulatory attorneys, and financial technology software engineers. Our team can provide unique insight in how managers of varying sizes and structures are interpreting difficult regulatory questions and continuously monitors evolving industry standards.
Our offerings: Consensus RMS – A platform providing a repeatable, reliable, and automated filing process for Form PF, AIFMD, CPO-PQR, Open Protocol, TIC, 13F, Form ADV, FATCA, Solvency II, Reg 28, and others Vault DMS – A full-featured document management system built for private fund managers to ensure key documents are organized, signed off, and easy to find Advise Notes – A content portal of the latest regulatory information and a community Q&A Advise Signal – A solution for position limits and substantial shareholder warnings and disclosure, based on holdings and trades covering 89 jurisdictions and numerous exchanges
Contact Us: FR: +33 (0)1 82 88 89 01 NL: +31 (0)20 808 5915 UK: +44 (0)20 7043 4448 US: +1 (212) 576 1170
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