The vendor is required to provide the following features related to shareholding disclosures:
a. Shareholder monitoring
• Configured investment monitoring
• Market scope – MSCI developed and emerging
• Security scope – equities, bonds, derivatives and commodities
• Monitoring scope:
a. Entity – agency
b. Asset class – department
c. Account – individual strategy
2. Dashboard and filing task calendar
• Customizable user interface
• Tasks and disclosures – current issues/filings
• Warnings – pending issues/filings
• Unknown items that need to be addressed by the client (e.g., data quality issues)
• Email updates of upload and system status
3. Exportable reports
• Excel (.xlsx & .csv) at the summary and individual security level
• All data provided by agency must be readily available in downloads for analysis - meaning if we provide 40 fields in the upload, we expect to be able to download all provided data after rules engine processing
• Scheduling and distribution of excel downloads and delivery to email or internal location is preferred
• Customizable report engine
4. Rules evaluation/platform
• Customization options (filter and sort) to modify or prioritize rules
• News – relevant news and market updates
• Tasks – required actions and warnings
• Rules – engine with list and updates
a. Vendors – a list of all vendors used
b. Coverage – MSCI developed and emerging markets
c. Short selling, shareholding, takeovers, other filing engines
d. Rules library – definition and explanation
e. Legal analysis resources
• Dialogue – availability to meet with regulatory experts and client community.
5. Disclosures
• Historical view – all disclosures and activity
• Revisions – changes and corrections of previous responses/filings
• Regulator notes: fields for confirmation id and disclosure notes
• Records retention and ability to export all relevant agency data
6. Securities and markets
• Required identifiers: ISIN and FIGI
• Supplemental identifiers: SEDOL, CUSIP and Bloomberg ticker
• Corporate actions: active reporting and analysis.
• Position data history
7. Support
• Office – satellite, us based
• Support – global 24/7
8. Information security
• Documented cybersecurity and control of information
• Soc 2 type ii audit or iso 270001 certification
• Management of user access rights, audit trail of activity
- Project outline
1. Planning and preparation
• Conduct a needs assessment to determine agency specific requirements.
• Create and submit an implementation plan, including kick-off timeline, project set up, and milestones for agency approval.
• Conduct preplanning workshops to identify required services, licenses, and design and development environment.
• Conduct a series of joint workshops for agency that will be facilitated in collaboration with relevant agency resources, including subject matter experts (SMES).
the objectives of these workshop sessions are to:
• Understand agency business requirements deemed in scope for the project.
• Socialize the availability of standard or pre-configured solutions or approaches to satisfy those requirements.
• Identify business requirements not covered by standard or pre-configured solutions, which will require custom configuration.
• Workshop topics will include:
• Foundational requirements: portfolio, security, and investment structures
• Financial instruments
• Trading, securities operations
• System operations and infrastructure
• Alternative investments
• Integration
• Reporting
• Data migration
• Test strategy and planning
2. Implementation
• Install and configure contractor’s solution according to the implementation plan.
• Assist the agency team with configuring the environment.
• Identify the different data points requirements for processing the data.
• Document the technical requirements for the interfaces.
• Support the agency team in developing the incoming/outgoing interface.
• Develop and train agency resources on the apis to automatically submit regulatory reports
• Set up disclosure alerts in emails and other forms supported by agency.
• Set up workflows unique to agency trading activities.
• Set up functionalities to build custom reports.
• Implement two-factor authentication.
• Build and support the regulation dashboard with alerts for regulations, pending filings.
3. Training and support
• Provide 24 hour a day support based in united states.
• Provide on-going support for all API interfaces, reports, dashboards and regulatory filings.
• Train agency resources on the APIs to automatically submit regulatory reports.
• Train agency resources on any changes or updates to solution.
• Establish a support system for ongoing assistance and troubleshooting.
4. Service delivery, maintenance and review
• Provide real time data analysis and shareholder disclosure monitoring.
• Automatically generate daily downloadable disclosure reports.
• Automatically generate reports for any applicable disclosure to various agencies.
• Monitor the performance of the solution and address any issues in accordance with the agreed upon service levels.
• Conduct regular reviews to ensure the solution continues to meet agency business needs.
• Implement updates and improvements as necessary.
• Support the following security products (equities, futures, fixed income, options, swaps).
- Contract Period/Term: 4 years
- Pre-Proposal Conference Attendance Is Not Mandatory Date: April 09, 2025
- Questions/Inquires Deadline: April 14, 2025