Regulatory Monitoring, Reporting, Data Transformation and General Operations Support
Supporting our consulting team with a range of back-office functions designed to add technical and process depth to our client-support solutions.
Supporting our clients directly with operations and data-management challenges.
Specialist expert support for Regulatory Host firms – managing part, or entire GRC operations requirements for the host or underlying Appointed Representatives / IM clients.
Operations Support available directly by our clients:
Shareholding disclosure (SSR/MSH/Takeover Panel/sensitive industries):
UK/EU short selling and major shareholding notifications – monitored and filed on a managed-service basis.
Restricted instruments monitoring:
Automated monitoring of portfolios, SMAs, and personal account dealings against internal restricted lists.
Annex IV / AIFMD II reporting:
Periodic regulatory reporting for AIFMs – we handle the data, the filing, and the ongoing cycle.
Middle and back office operational support:
Fractional support for managers who need experienced resource on an ongoing or project basis without the cost of a full hire.
US regulatory filings:
Form 13F, Form 13H, Form ADV support, and Form PF for managers with US investor exposure or SEC registration requirements.
Data transformation and ETL:
Consolidation of data from disparate sources into a single, audit-ready dataset – reducing manual effort upstream of filings and reporting.
CFTC/NFA filings:
CPO-PQR, CTA-PR, and speculative position limits monitoring for managers with commodity or derivatives exposure.
Vendor and counterparty due diligence:
Structured third-party assessments supporting regulatory and governance obligations.
Sanctions screening:
Automated global screening of portfolios and client lists, with instant change alerts and continuous monitoring.
Trading relationship administration:
End-to-end onboarding of new trading relationships – documentation, account opening, and ongoing workflow.
Ad-hoc regulatory project support:
Experienced resource for regulatory change projects or operational initiatives, without the overhead of a permanent hire.
Risk function services:
Practical advisory across investment, portfolio, and regulatory risk, including governance and oversight reviews and risk reporting.
Global Financial Sanction Screening & Investment Monitoring Against External Data
Blueprint GRC’s automated monitoring tools ingest fund, SMA, client lists or personal account holdings and transaction data to make real-time evaluation against the world’s most prominent financial sanction lists.
Through prompt email alerts, compliance or risk teams are notified of changes in global sanction lists and potential matches, with the context needed to investigate further – saving time, effort, and potential reportable breaches.
Investment Portfolio & Personal Account Dealing Monitoring Against Internal Data
Beyond external data, Blueprint GRC enables clients to monitor fund portfolios, SMAs, and personal account holdings against internal restricted instruments lists.
This additional layer of oversight helps firms enforce internal policies consistently, reducing the risk of inadvertent trading in restricted instruments and strengthening governance practices.
Expert Human Oversight
Our automation is complemented by a team with deep expertise in fund data interretation, AML and regulatory reporting. When alerts are triggered, our specialists are available to examine findings, validate results, and provide pragmatic advice on compliant remediation. This unique combination of technology and human expertise provides confidence in both detection and resolution.
Shareholding Disclosure & Global Regulatory Reporting
Blueprint GRC helps asset managers stay ahead of complex global reporting obligations.
We receive and analyse large volumes of fund- or SMA-level shareholding and transaction data, identify regulatory requirements, and transform it into the correct format and ready-to-submit filings.
Our real-time data analysis and reporting services (available now or coming online) support you in:
- Meeting SEC requirements with streamlined Form 13F and 13H submissions
- Staying compliant through accurate Short Position Disclosure Reporting
- Avoiding disclosure breaches with automated Material Shareholding tracking
- Simplifying takeover compliance with Takeover Panel Monitoring
- Managing trading risk by monitoring exchange-imposed position limits in commodities
- Reducing AIFMD complexity with Annex IV reporting
- Fulfilling U.S. NFA obligations via CPO-PQR and CTA-PR filings
With Blueprint GRC, compliance teams gain confidence, efficiency, and a push-button pathway from data to submission.