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Mar, 15 20133 min read

ConvergEx Group’s Eze Castle Software Successfully Completes 10 Quarterly Form PF Filings with Regulatory Filings Manager

Ten firms have successfully submitted their quarterly March 1 Form PF filings using Eze Castle Software’s Regulatory Filings Manager.

ConvergEx Group, a leading technology company, today announced that ten firms have successfully submitted their quarterly March 1 Form PF filings using Eze Castle Software’s* Regulatory Filings Manager. These firms have a combined Regulatory Assets Under Management of over $32 billion and included hedge funds, institutional asset managers and private equity funds. Since launching Regulatory Filings Manager in June of 2012, 25 firms are using the product and Eze is currently working with 15 more annual filers for the upcoming April 30 deadline.

Regulatory Filings Manager is the newest component of Eze Data Management and is an enterprise solution for managing regulatory filings. Its flexible user interface and prebuilt templates simplify the Form PF filing process, allowing users to easily navigate through forms and electronically submit the completed filing to the SEC over a fully validated FINRA interface. Along with Eze Data Management’s enterprise‐grade tools, users can intuitively map data and efficiently report on necessary information. Customers can also use Regulatory Filings Manager to automatically calculate answers using preexisting datasets, view historical answers and effectively respond to audit requests.

“The release, adoption and success of this product have given us significant forward momentum as we expand our product roadmap into the regulatory filings space,” said Phil Christianson, product manager for ConvergEx’s Eze Castle Software. “We continue to enhance the product to gain even better access to the myriad data points this process requires. We are also partnering with customers to expand the product beyond Form PF, to support new filings such as AIFMD and CPO‐PQR.”

“Regulatory Filings Manager helped us to automate a lot of the manual effort involved with filing,” said Lindsay Kipnes Gourevitch, chief financial officer, Dialectic Capital Management. “Not only did their system suit our needs, but their specialized client service team provided us with invaluable guidance. Eze’s Strategic Solutions clearly knows the Form PF space.”

“Many of our customers have complicated filings with multiple iterations of each section in Form PF. Our largest quarterly filer had nearly 7,000 data points,” said Chris Junge, director of Strategic Solutions for ConvergEx’s Eze Castle Software. “Regulatory Filings Manager efficiently loads the data into the correct questions and reduces this effort by many hours. Having a Form PF tool that is backed by our existing Eze Data Management system allows customers to flexibly map questions to the underlying data and sets the foundation for future filings.”

The award‐winning Eze OMS leverages real‐time open architecture to streamline the investment cycle for all asset classes – from idea generation through settlement. The Eze OMS provides functionality to support portfolio management, compliance, trade management and operations in a single platform.

*In January of 2013, ConvergEx Group signed a definitive agreement to sell the Eze Castle Software and RealTick businesses to an affiliate of TPG Capital. The transaction is expected to close before the end of the second quarter of 2013.


About ConvergEx Group
ConvergEx Group is a leading technology company providing mission‐critical proprietary software products and technology‐enabled services to asset managers and financial intermediaries globally. Its products and services span the investment life cycle and are designed to enable customers to achieve improved results through operational and workflow efficiencies, execution and analytical tools and highly personalized service. The firm serves more than 4,000 customers accessing over 100 global markets. Formed in 2006, the firm has over 1,250 employees located in 23 cities throughout the Americas, Europe, Middle East, Africa and Asia‐Pacific.

ConvergEx Group includes ConvergEx Execution Solutions LLC (member NYSE/FINRA/SIPC); LiquidPoint, LLC (member CBOE/SIPC); G‐Trade Services LLC (member FINRA/SIPC);  Westminster Research Associates LLC (member FINRA/SIPC); Eze Castle Transaction Services LLC (member FINRA/SIPC); ConvergEx Prime Services LLC (member FINRA/SIPC); Eze Castle Software LLC; RealTick LLC; ConvergEx Solutions LLC, of which ConnEx, Jaywalk and LDB are divisions; and ConvergEx Limited in the UK and Australia. ConvergEx Group, LLC is a subsidiary of ConvergEx Holdings, LLC.