Overview
The Global Settings page allows administrators of top-level companies to manage configurations that apply across FundApps. These configurations directly affect regulatory rule evaluations, data aggregation levels, and disclosure form generation.
This article provides a comprehensive overview of the available configuration options across the four available tabs: General, US 13F, US 13G, and Issuer Limits.
Adjusting these settings ensures your automated compliance monitoring aligns precisely with your organisation's internal policies and external regulatory requirements.
Access the following configurations by navigating to Admin and settings > Setup > Global Settings.
General Settings
The General tab contains high-level configurations affecting denominator variance thresholds, rule exemptions, asset masking, and short sale rules.
Denominator Check Volume Control (DC Volume): This setting suppresses disclosure alerts caused by minor changes to denominator values. If you adjust this threshold, you must re-run your most recent positions file to update your results. Changing this setting is at your own risk. More information about this can be found here.
OverrideDelegatorRelationshipsRuleIDs: This allows users to specify a list of rules for which delegator aggregation requirements should not apply. Read more about delegation of management and voting power here.
IsAllowedRuleExemptionClient: Enables assets to be excluded from specific rules. It should be utilised only when an asset has a verified or confidential exemption that cannot be handled by standard automation. This setting works alongside the asset-level property ExemptFromRuleIDs.
IsMaskedHolding: Use this setting to control whether holdings below the minimum 3% or 5% thresholds in European major forms, such as the ESMA, the TR1, or Germany's BaFin, are masked.
IsUsingFIRDSMarkets: Choose whether the system uses the MICS associated with an instrument from the official European or UK FIRDS lists or relies strictly on the markets uploaded in your positions file via the MarketsListedIn property.
IsSSREquityExcludingCFI: Automatically exclude all positions from the SSR Equity rules that do not have CFI codes starting with ES, EP, EC, or EF.
US 13G Settings
The US 13G tab controls which entities, portfolios, and ownership thresholds are applied to the 13G results and forms. More information on how these settings affect the generation of the 13G form is available here.
IncludePortfoliosUS13GForm: This automatically incorporates all portfolios linked to a filer when generating the Schedule 13G form.
IncludeCustomEntitiesAndPortfoliosUS13GForm: Designate specific entities or portfolios for inclusion in the 13G filing. Activating this will completely override the IncludeEntitiesUS13GForm and IncludePortfoliosUS13GForm Global Settings.
Is13GMaterialExit: This limits exit disclosures to situations where the change in ownership is deemed material.
Exclude5PercentOrLessUS13GForm: Filter out any reporting entities or portfolios whose holdings do not cross the five percent threshold for that particular class of security.
IncludeEntitiesUS13GForm: Control whether the generated 13G filing includes all entities directly tied to the filer.
US 13F Settings
The US 13F tab allows you to control specific parameters governing how the system generates results under the Major: US - 13F rules.
Is13FDeMinimisExempt: Exclude positions if they fall under the official SEC de minimis thresholds of 10,000 shares and $200,000 in aggregate fair market value. Turning this off ensures all positions stay within your reporting scope.
IsUS13FExcludingOTCOptions: This allows the system to omit unlisted, over-the-counter options from 13F results when their Market inputs are designated as "XXXX" or "OOTC". Using this feature requires all Options to have an explicitly populated Market input to work correctly.
Is13FExecutionVenueExemption: This setting allows for the exclusion of holdings executed on non-US trading venues from 13F reporting. Otherwise, securities executed in any trading venue are in scope for the 13F rules. Learn more about how to set the ExecutionVenue property here.
Issuer Limits Settings
The Issuer Limits tab lets you specify which aggregation levels apply to the Issuer Limit rules.
By default, these global controls are turned on, meaning the platform generates results for all active Issuer Limits rules across both available aggregation models.
Read more about these settings here.
RunIssuerLimitsAllEntitiesAndPortfolio: Disabling this setting prevents the system from producing Issuer Limits results under the AllEntitiesAndPortfolio aggregation level, even if they remain active in your system. You should turn this off if your firm wants to focus results purely on the AllEntities aggregation level.
RunIssuerLimitsAllEntities: Disabling this configuration means that the AllEntities aggregation level will stop producing results. You should switch this setting off if your organisation prefers to generate results under the AllEntitiesAndPortfolio aggregation level.