If you want to be successful in asset management in the long term, you must not only respond to regulatory requirements, but also anticipate developments. With the latest reporting updates, XENTIS expands your options for responding immediately to new regulations and making your reporting processes more efficient and future-proof. The focus is currently on two significant enhancements: the implementation of the new SEC reporting requirements in accordance with Form 13F-2 / SHO as well as adaptation to the latest ESMA validation rules for the SFTR reporting. Both updates ensure that you are compliant, transparent and technically optimised at all times.

New reporting requirements for short positions in US equities

The US Securities and Exchange Commission (SEC) is introducing a new mandatory reporting requirement for short positions with Form 13F-2 / SHO. XENTIS will support you in the future with the complete mapping and automated preparation of this data – regardless of whether your company is based in the US or Europe.

What is reported?

• Short positions from short sales, short calls, long puts or convertible bonds – even if long positions in the same securities exist in parallel
• A list of relevant US stocks defined by the SEC is authoritative.
• Two thresholds apply, depending on the trading exchange; reporting is position-related.

Reporting content

• Positions at the end of the month
• Daily transactions that affect short positions
• Deadline: Report within 14 calendar days after the end of the month

Through integration with XENTIS, these complex reporting requirements can be automatically derived from your inventory and transaction data and provided in the required format. This enables XENTIS to guarantee even greater efficiency, precision and regulatory security.

SFTR reporting in accordance with the latest ESMA requirements

The Securities Financing Transactions Regulation (SFTR) requires market participants to report in detail on transactions such as securities lending, repos, margin lending, and buy-sell-back and sell-buy-back transactions. The requirements are similar to EMIR, but are specific to securities trading. XENTIS has fully implemented the current ESMA validation rules and offers you:

• XML creation according to ISO-20022 for reports to DTCC and Regis-TR
• Complete validation of your reporting data
• Automated generation from trading, position and master data managed in XENTIS

With this implementation, you benefit from a robust, integrated process that minimises manual effort and maximises data quality – a clear advantage in a regulatory landscape where precision and deadlines are crucial.

With the new reporting updates, XENTIS once again demonstrates that technological strength and regulatory foresight go hand in hand. You benefit from automated, precise and future-proof processes – and can rest assured that your reporting obligations are met.