FundApps Filing Manager is a cloud-based solution that automates the short selling disclosure process across multiple jurisdictions. Designed for investment managers, hedge funds, and compliance teams, it streamlines the submission of regulatory filings by integrating directly with FundApps’ Shareholding Disclosure platform. Filing Manager ensures timely, accurate, and auditable reporting to regulators such as the SEC, FCA, BaFin, ASIC, MAS, and others. The platform eliminates manual workflows, reduces the risk of errors, and provides full visibility into filing status and audit trails. It supports various submission formats including SOAP, FIX, API, and direct portal uploads, making it a comprehensive solution for global compliance.

Features

• Automated Filing: Identifies disclosures from position files and prepares them for submission.
• Real-Time Status Tracking: Displays whether a disclosure is “Disclosing” (submitted, awaiting confirmation) or “Filed” (confirmed).
• Jurisdictional Intelligence: Knows where and how to file across global regulators.
• Data Submission Formats: Supports SOAP, FIX, API, and login-based portal submissions.
• Disclosure Clarity: Provides guidance on when, what, and where to disclose based on jurisdictional rules.
• Secure Integration: Direct submission from FundApps platform to regulators including ASIC (AU), BaFin (DE), FCA (UK), FI (SE), MAS (SG), SEC (US), and SFC (HK).
• Audit Trail: Full visibility into filing history and confirmation status.
• Regulatory Advocacy: FundApps actively engages with regulators to reduce compliance burden (e.g., bulk uploads, centralized systems).

Benefits

• Time Savings: Automates repetitive tasks, freeing compliance teams to focus on strategic work.
• Reduced Risk: Minimizes errors and missed filings through automated workflows.
• Improved Accuracy: Ensures correct data formats and jurisdictional compliance.
• Audit-Ready: Centralized filing records and confirmation tracking.
• Scalable Solution: Handles tens to hundreds of filings across multiple regulators.
• Regulatory Alignment: Keeps pace with evolving rules like SEC’s 13f-2 and EU NSPs.