Compliance and Regulatory Suite

Whether it’s real time trading/risk compliance or performing regularly-scheduled compliance reporting to international regulatory bodies, MIK has you covered. Not only do we report and notify but we provide a full audit trail of what has been done and where the process stands. Our compliance tools also provide intuitive user interfaces for creating and managing the regulatory report creation process.

Our compliance and regulatory reporting modules support:

• Real Time Compliance Notifications and Dashboards for Trading, Risk, Portfolio and Firm rule sets
• Automation of recurring weekly, monthly, quarterly and annual reporting
  • Form PF
  • ADV
  • CFTC
  • UCITS
  • OPERA
  • 13F & 13G
  • Form SH
  • AIFMD
  • Global Beneficial Ownership