Finance & Risk

The AlphaCert platform is designed with risk, compliance and assurance at its core.

Giving Risk and finance teams confidence that they will meet any auditing requirements, the platform captures an exact history of any decisions or changes made over time, and pinpoints who made changes and when, allowing for confidence on any decision making.

With risk, exposure and compliance analysis and reporting built in, finance and risk teams can leverage the single source of truth for regulatory reporting and many other business requirements.

Exposure Reporting & Risk​

Configurable role-based permissions governing user rights and authentication, robust application layer security.

Investment managers need to view and analyse exposure to markets, sectors, currencies, countries and regions to mitigate risk and maximise returns. AlphaCert’s rich data model enables investment managers to quickly and easily perform detailed risk and exposure analysis and reporting.

For example, by using AlphaCert as the single source of truth to combine custodial data, market data and other sources of internal data, investment managers can gain insight into areas of significant risk and exposure such as:

Exposure by Country and Region

Exposure by Currency Classifications

Exposure by Counterparty / Issuer

OR view exposure by any data classification required for specific use cases


Data feeds can be configured for third party systems and models such as Risk systems, counterparty exposure models and any other exposure reporting.


It’s more important than ever to demonstrate compliance with investment mandates, so having the appropriate checks and balances is critical. AlphaCert’s extensive compliance checks can be made across all levels of a fund, including checks against individual Instruments, GICS Sector exclusions and Portfolio Holdings by Asset Class grouping weights vs mandate.


Implement custom checks based on your fund’s specific investment mandates

Reporting, including warnings, on an exception basis to quickly identify and correct breaches

Highly flexible and tailored to meet individual funds requirements

ESG Attribution

Managing all of your investment data in a central location allows for streamlining of your operating processes. 

The AlphaCert ESG Module sits within our investment data automation platform and records ESG data from single, or multiple providers, for all organisations to display against the legal entity record.

Customers have the option to link all ESG values and scores to Held instruments and apply calculations/weightings to find the overall ESG score for Options, Portfolios and Funds.

Regulatory - Disclose Register

Designed to streamline and enhance your regulatory reporting processes this module is your gateway to effortless compliance with national regulatory requirements such as Australian APRA, New Zealand FMA, etc.

For NZ FMA requirements in particular, this will ensure compliance with Disclosure reporting and Quarterly fund updates. 

The AlphaCert Regulatory module not only accelerates your reporting processes but also fortifies your data accuracy, reduces operational risks, and boosts stakeholder confidence. Embrace efficiency, enhance compliance, and elevate confidence in your financial reporting.  

Features include:

Effortless Data Management: Review and reconcile internal and external data seamlessly, including holdings, performance returns, allocations, and fees/taxes, all within the AlphaCert platform. 

Direct Submission: Submit digitally and directly to the relevant regulator through our platform, eliminating the hassle of manual paperwork. 

Secure Reporting: Generate polished PDF reports for each of your funds, ready for public website upload, ensuring data security and compliance. 

Benefits include:

Automation & Efficiency: Automate manual tasks, reducing specialist task time and enabling your team to focus on adding value to your funds. 

Risk Mitigation: Minimize key person dependency and reduce the risk of late filing, ensuring compliance with the national regulatory and legal frameworks and timelines for example the NZFMA Conduct Act 2013.

Data Integrity: AlphaCert's exception-based system logic guarantees high levels of data integrity and governance, instilling confidence in your reporting. 

Regulatory Confidence: Ensure timely updates, minimize compliance alerts, and avoid penalties, enhancing confidence with regulators. 

Important Note: This module has been designed to adapt to ensuring compliance with stringent local and changing regulatory standards and regulations.  

In particular this module has been designed to fit the New Zealand Financial Markets Association (NZFMA) requirements and processes, ensuring compliance with their stringent standards and regulations. 

Mandatory Climate-Related Disclosures (CRD)

Supporting you with new reporting standards in accordance with the Mandatory Climate-Related Disclosures (CRD) regime. The AlphaCert Climate-Related Disclosures module not only accelerates your reporting processes but also fortifies your data accuracy, reduces operational risks, and boosts stakeholder confidence. You will be able to automate the process of generating the new climate reporting standards.  

Important Note: This module has been designed to adapt to ensuring compliance with stringent local and changing regulatory standards and regulations.  

Information on the requirements can be found on:

MBIE website on Mandatory climate-related disclosures

XRB website on Governance and Risk Management Consultation

Why this is important:

The Financial Sector (Climate-related Disclosures and Other Matters) Amendment Act 2021 in New Zealand makes climate-related disclosures mandatory for some organisations. The requirement will apply to large publicly listed companies and large insurers, banks, non-bank deposit takers and investment managers.

The CRD regime will be phased in over the next 3-5 years. The first stage is currently in progress where the External Reporting Board (XRB) will prepare, consult on and issue new reporting standards for businesses required to disclose. Reporting under the new climate reporting standards will be required in the second phase (1 year after Royal assent), and subsequently the third phase (3 years after Royal assent) will require elements of the disclosures relating to greenhouse gas emissions to have independent assurance.



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