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Form 13F – XML Filing

What is Form 13F?

Form 13F is the reporting form filed by institutional investment managers pursuant to Section 13(f) of the Securities Exchange Act of 1934. Its purpose is to collect information about certain security holdings and provide investors with an inside look at the holdings of Wall Street’s largest investment managers.

Who is required to file?
Institutional investment managers who hold at least $100 million in market value of qualifying securities.

When are you required to file?
Qualifying institutional investment managers are required to file within 45 days of each calendar quarter.

Form 13-F dashboard

Automatic matching engine against the SEC published security list for simple creation of the information table and creation of the xml for easy submission to the SEC.

Key benefits of the Form 13F service

The SS&C GlobeOp Form 13F reporting service is part of a comprehensive suite of regulatory and compliance solutions. We provide a centralized platform where fund managers can leverage their data using the same underlying source data to consistently capture and aggregate information to prepare for your XML filing of Form 13F while simultaneously enforcing controls to manage the process.

As with all the solutions from SS&C GlobeOp, Form 13F is available as a stand-alone service or as part of a comprehensive suite of solutions. Clients can use SS&C GlobeOp as their sole provider in a rapidly evolving regulatory environment.