End-to-end System for SEC Modernization

Through a combination of people, process and technology, Hive® N-PORT, powered by Axioma Reporting Solutions, provides one of the most complete offerings on the market. Comprised
of three core tools — a data warehouse, logic engine and report generation interface — Hive® N-PORT is built with data integrity and compliance organizations in mind. Toppan Vintage is dedicated to the development of technology solutions geared toward easing the Form N-PORT and Form N-CEN integration and reporting challenges as the SEC releases additional technical specifications for the initial filing deadline in 2018.

Through a combination of people, process and technology (“PPT”), Hive® N-PORT, powered by Axioma Reporting Solutions, provides one of the most complete offerings on the market.

A Complete Solution

  • The Hive® N-PORT technology platform integrates the Axioma Risk Engine to bring to market the only ‘single software package’ that can produce a complete regulatory filing
  • Leveraging Axioma Risk allows for use of the same underlying data to produce the risk measurements required by the various regulatory reports and the bulk of the report via ARS
  • A Fully Managed Service

    • Hive® N-PORT managed service goes above and beyond, setting up a workflow that takes data from client-identified sources to generate fully-populated reports, ready for client review and sign-off
    • Clients are able to outsource more and focus on what matters most
    • Our Process

      • Honed since the first Form PF filings in 2012, the Hive® N-PORT reporting process has resulted in period over period filings for thousands of funds without error
      • Engraining this process into client workflow ensures smooth filings and eliminates last minute emergencies

The Technology Platform

  • Comprised of three core tools – a data warehouse, logic engine and report generation interface – the Hive® N-PORT system is built with data integrity and compliance organizations in mind
  • Data Console

    • The data warehouse stores decomposed report structures and conditional validation rules.
    • Raw report data is loaded and stored for report generation
    • Logic Engine

      • Metadata containing rules for each report makes up the engine
      • Rules can be customized per client needs and stored for period-over-period use
      • An Reporting Solutions team maintains an internal facing system to ensure that rules are compliant with the most current regulator information
      • Workbench

        • Reviewal, approval, report generation and submission are all done from the user interface
        • In the response review process, drill downs to underlying data stores in the Data Console as well as plain English versions of logic used provide transparency into every engine-derived response
        • A complete audit trail of all changes made to filings within the Workbench is stored for future compliance needs and to facilitate an easy review process
        • Customization of the approval hierarchy matches each clients’ individual needs, ensuring all of the proper sign-offs have been received prior to generation and submission
        • Quality control reporting allows for the comparison of filings from period to period, fund to fund, and within a set time period for active filings

Quality Expertise

  • Identification of necessary data sources, typically originating from a combination of Fund Administration raw output of positional information, prime broker counterparty data and internal client systems
  • Build of a custom extraction, translation and loading process (“ETL”) to receive raw data from identified sources and map it to a necessary format in the Data Console
  • Validation of data once in the Data Console and generation of specified report(s)
  • Maintenance and update of workflows to account for raw data changes based on client input
  • Axioma_Reporting Solution_NPORT