AQMetrics: A Step Ahead of Compliance Management

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AQMetrics: A Step Ahead of Compliance Management

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Claire Savage, COO, AQMetricsClaire Savage, COO
Until very recently, businesses consciously avoided the term risk as a ‘taboo’; organizations believed in taking the middle-path when taking important decisions. However, with the realization that risk is an integral part of a business, companies are now reaching for solutions to tackle challenges instead of circumventing risky situations. “The magic lies in planning ahead of the industry regulations,” states Claire Savage, COO, AQMetrics. “Knowing the potential risks and addressing them in alignment with the industry standards empowers businesses to set a firm foot in the market.”

With rich business acumen and two-decades-long expertise, Claire knows what it takes to harmonize all systems together and keep the business running. Discovering that the conventional formulae of risk and compliance management were outmoded, Claire and her team at AQMetrics brought in their expertise in law and financial services to build a platform keeping technology at the core. Tested and perfected to be foolproof, the AQMetrics platform is aimed at offering remarkable results. “Leveraging cloud computing and big data analytics, the AQMetrics platform has been specifically designed to streamline activities besides saving clients time and money,” explains Claire.

AQMetrics offers its solutions via three core products. The AQMetrics Risk Analytics and Insights is a powerful multi-asset class risk analytics and reporting platform, which supports clients through the journey of monitoring, control and reporting of any existing or potential risk. “Clients are thus equipped with a common language which they can utilize while identifying sources of credit, market, liquidity and counterparty risk and interacting about them with the boards, regulators, and shareholders,” states Claire. The entire data and reconciliation process helps clients manage risk and regulatory reporting simultaneously.

The AQMetrics Risk Control platform employs AQM Quant insights in order to manage pre- and post-trade compliance control, along with investment breach and best execution monitoring, as well as daily risk control and risk exposure reporting. Clients are alerted by the AQMetrics Signal regarding identified risks across a number of regulations. These include UCITS Investment Breach Monitoring, CP86, 40′ Act Rules, Alternative Investment Fund Managers Directive (AIFMD) Risk Control, MiFIDII Best Execution, Market Abuse Monitoring, and Insider Trader Reporting.

We approach our clients from a partnership perspective, guiding them to strategize their objectives at least 18 months ahead of a new regulation

That’s not all; the AQMetrics Regulatory Reporting offers four reporting options. The AIFMD reporting package ensures asset managers that all reports are AIFMD Annex IV compliant. Additionally, the AQMetrics automated reporting and filing system assists Commodity Pool Operators (CPOs) in mitigating the CPO-PQR challenges in a cost-effective manner. The AQMetrics Form PF allows investment advisors to focus on their core activities, simultaneously being fully compliant with Form PF reporting obligations. The AQMetrics complete Form 13F reporting package ensures that all forms comply with Form 13F reporting obligations.

The AQMetrics platform brings a range of benefits to its clients. First, companies can access all data, along with risk monitoring and compliance from a single source while staying industry compliant and reducing regulatory errors and downtime. Apart from this, users can stay informed irrespective of their location and time. Most interestingly, AQMetrics’ software, technical infrastructure and support staff help clients manage risk and regulatory compliance in an effective and efficient manner while eliminating the necessity of third-party involvement. All of these factors result in instilling transparency in generating of invoices.

An authorized Data Reporting Service Provider (DRSP) authorized under the Central Bank of Ireland under MiFIDII, AQMetrics is an Approved Reporting Mechanism (ARM) for MiFIDII transaction reporting. “We approach our clients from a partnership perspective, guiding them to strategize their objectives at least 18 months ahead of new regulation,” concludes Claire.