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SEC Modernization: Liquidity Risk Management and Forms N-PORT and N-CEN

Liquidity Risk Management including N-LIQUID

In accordance with rule 22e-4 registered investment companies are required to monitor their liquidity profile. SS&C can provide the technology and services for compliance with Liquidity Risk Management as well as prepare N-LIQUID. Our software and services include the below:

  • Daily monitoring with multiple levels of review
  • Complete audit trail with drill down capability
  • Systematic or bespoke investment liquidity classification agnostic to the data source
  • Customizable tolerance settings for instant notification when thresholds are breached
  • Rules based calculation engine for a seamless repeatable process
  • Preparation and filing of N-LIQUID

What are forms N-PORT and N-CEN?

Forms N-PORT and N-CEN are part of an initiative by the SEC to replace Form N-Q and N-SAR with reporting that will increase transparency and enhance the quality of information available to investors. The form includes general information about the fund, portfolio, risk, and performance metrics.

Key benefits of SS&C Regulatory Solutions

  • Incorporates state-of-the art technology in a cost- effective, centralized platform that enables transparency, drilldown capabilities, and a complete audit trail in a controlled environment
  • Removes operational burden and reduces cost with the automated straight-through solution
  • Adapts quickly to new or updated requirements by leveraging existing regulatory reporting data
  • Delivers in-depth subject matter expertise through our dedicated global regulatory solutions team