Form CPO-PQR Reporting

CFTC Changes Create New Complex CPO-PQR Reporting Requirements The Commodity Futures Trading Commission (CFTC) now requires Commodity Pool Operators (CPOs) to le Form CPO-PQR with the National Futures Association (NFA). The new CPO-PQR report is a complex nancial reporting form required to be led by CPOs either annually or quarterly, depending on the size of the CPO. CPO-PQR will require CPOs to report on a wide range of data including strategy, asset classes, risk metrics, collateral, counterparty credit exposure, and leverage, among others. In conjunction with the new form requirement, the CFTC also rescinded the registration exemption for private fund advisors and advisors of registered funds. While private fund advisors can avoid CPO-PQR Schedules B and C and harmonization has allowed registered fund advisors to avoid many of the CFTCs Section 4 requirements, an entire new category of investment advisors nd themselves with a new, complicated ling requirement. Navigating the ling requirements can be challenging for CPOs. An automated reporting and ling system can ease the difculties. The Conuence Form CPO-PQR Reporting Solution At Conuence, we are experts in data consolidation and management. We understand complex data requirements and can extract and load investment data from fund administrators, accounting systems, prime brokers and the investment advisors internal systems. For more than a decade, our team has been providing leading alternative investment data management and reporting solutions to the global investment management industry. The Unity NXT Form CPO-PQR Reporting solution facilitates the loading of data and the determination of answers the most difcult part of the process. Our software maps data from any source or client system. It has the capability to aggregate the data and calculate the answers to complete the Form CPO-PQR. It also provides a dashboard and collaboration tool that allows multiple users to review answers and populate the form simultaneously. And, in addition to our Form CPO-PQR reporting, Conuence provides the leading Form PF reporting solution for our clients that are required to le with both the SEC and the NFA.

Solving the Complex Data Challenges Associated with Form CPO-PQR Reporting
Our team has been solving challenging data integration and data reporting problems for the alternative investment industry for more than a decade.

10 Reasons to use Conuence for your Form CPO-PQR Needs:

10 years of alternative investment data automation and management Proven regulatory reporting experience including Form CPO-PQR ling expertise Consistency and standardization across your organization Reduce the risk of regulatory scrutiny

As the leading data management software and service provider with over 10 years of experience servicing clients in the alternative investment industry, we have proven solutions for Form PF and Form CPO-PQR reporting and ling. And we have just introduced our AIFMD Transparency Reporting solution. All of this provides you with the utmost control from the initial collection of data, to the creation and validation of the necessary datasets and reports, to the submission of the ling. Conuences SaaS-enabled Unity NXT Form CPO-PQR Reporting offers a cost effective solution for clients that need to meet the ling requirements of Form CPO-PQR without adding new hardware or software licenses. Unity NXT Form CPO-PQR Reporting provides a web-based interface for you to view, manage, approve, and le your form. Collaboration and workow capabilities allow you to edit and update information across all sections of the form and to route sections to other team members for review and updates. In addition, you can access the underlying data for internal review and reconciliation. Unity NXT Form CPO-PQR Reporting also provides a dashboard with key summary information to alert you of any open data issues that require attention prior to ling. Intuitive navigation allows you to update critical information quickly.

Dened and repeatable process from data collection to NFA ling Web-based collaboration tool and workow Aggregates data and performs most calculations Robust audit trail Exceptional value for the cost Reduce key person risk

Ongoing Filing Requirements for CPOs

Calculated as of the end of each calendar quarter: CPO with AUM $1.5 billion CPO with AUM $150 billion but < $1.5 billion CPO with AUM < $150 billion Form CPO-PQR, Schedule A Quarterly, within 60 days of the end of each calendar quarter Annually, within 90 days of the end of each calendar quarter Annually, within 90 days of the end of each calendar quarter Form CPO-PQR, Schedule B Quarterly, within 60 days of the end of each calendar quarter Annually, within 90 days of the end of each calendar quarter N/A Form CPO-PQR, Schedule C Quarterly, within 60 days of the end of each calendar quarter N/A

N/A

Key Features and Benets of Unity NXT Form CPO-PQR Reporting

Data Analytics Required CPO-PQR calculations are performed where the NFA has provided guidance.* CPO-PQR Reporting A secure, web-based CPO-PQR user interface is populated with your imported data and includes the following features: Clear Layout The web-based Form is organized by CPO-PQR schedules and parts. Validation The application includes a series of alerts, checks, validations and approval procedures. Flexibility The advisor has the ability to make topside adjustments. Audit Trail An audit trail is provided for all changes made, including a record of the original entry, the override, the editor, and date. Collaboration A share function is provided, allowing the user to send individual parts and schedules for review or completion including robust drilldown into data records by any of the parties involved in preparation and ling. File Form PF Electronically File electronically as currently dened by the NFA schema.

* With the exception of risk metrics, which are typically calculated elsewhere, and certain cover page elds where the underlying data is not available.

Unity NXT Form CPO-PQR Reporting Provides You With:

Security Maintain the condentiality of your data in our secure, encrypted SSAE 16 environment, or host the service on your network. Accuracy & Efciency Dont spend countless hours attempting to piece together multiple spreadsheets or risk key punch errors. Experience and Quality Conuence has 10 years of data management expertise in the alternative investment industry. Superior Collaboration Capabilities A true collaborative environment allowing disparate departments to share, review and complete each answer, each section, and the entire ling with a full audit trail.

About Conuence
For more than 20 years the global investment management industry has come to trust Conuence to deliver innovative solutions to take the risk out of fund administration. From the Conuence traditional install, hosted and outsourced Unity platform solutions to our enterprise-grade SaaS enabled Unity NXT solutions, Conuence automates critical fund administration and reporting processe such as regulatory reporting, nancial statement preparation and budgeting. Conuence solutions support a wide array of fund investment types including European domiciled UCITS, alternative investments, traditional U.S. based 40 ACT mutual funds, and contemporary fund structures such as ETFs. As the leading Form PF/CPO-PQR provider in the alternative investment industry, our team has been solving the data integration and data reporting problems of hedge funds and fund managers for more than a decade. Headquartered in Pittsburgh, PA, Conuence serves the international fund industry with key locations in London, Luxembourg and San Francisco.

To Learn More
To learn more contact us at info@conuence.com.

Pittsburgh Headquarters 600 River Avenue Pittsburgh, PA 15212-5935 USA Tel: 412.802.8632

San Francisco Ofce Tel: 415.813.6710

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www.conuence.com

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