Regulatory Reporting: Gresham’s Triumph with Investment Bank


Delve into the narrative of regulatory reporting transformation as we unveil the remarkable journey of a corporate and investment bank in achieving complete data integrity for FINRA reporting. Gresham’s Control Solutions play a pivotal role in enhancing accuracy, consistency, and compliance in the complex landscape of financial regulations. 

The Challenge: Navigating the Regulatory Maze 

Witness the challenges faced by a major corporate and investment bank grappling with the intricate web of FINRA’s Order Audit Trail System (OATS) reporting. The demands for consistency, timeliness, and accuracy in reporting formed the core of the bank’s predicament. 

The Solution: Empowering Data Integrity 

Discover how Gresham’s Control Solutions emerged as the bedrock for ensuring data integrity and regulatory compliance: 

  • Unified Data Mastery: Gresham’s Control Solution, a single-source platform for automation, validation, and reconciliation, emerged as the solution of choice, guaranteeing the delivery of accurate, timely reports to regulators.

  • Meeting Regulatory Stringency: Amidst mounting regulatory pressure, the bank harnessed the power of Gresham’s solutions to capture and report a myriad of intricate data elements tied to order handling and execution.

  • Path to Automation: As the potential for hundreds of thousands of breaks per day loomed, Gresham’s Control provided a seamless route to automation, reducing reliance on costly and time-consuming IT interventions. 

Results and Benefits 

The marriage of Gresham’s Control Solutions and the investment bank led to transformational results, reshaping the landscape of regulatory reporting: 

  • Data Confidence Amplified: Control effortlessly drew data from diverse sources, fostering a culture of trust in the bank’s reporting accuracy. 

  • Exceptional Insights: Robust exception management unraveled the mysteries behind breaks, enabling self-service auto-categorization and empowering teams with autonomy in process automation. 

  • Holistic Self-sufficiency: With accurate and timely OATS reports and streamlined processes, the bank’s teams embraced newfound self-sufficiency. 


The pages of this case study testify to the transformative power of Gresham’s Control Solutions in the realm of regulatory reporting. Beyond ensuring accuracy and compliance, the bank’s journey underscores the empowerment of data mastery and operational efficiency. The partnership between Gresham and the investment bank emerges as a beacon of success, illuminating a path for financial institutions to conquer the challenges of modern regulatory landscapes. As we close this chapter, the investment bank stands ready to navigate the complexities of tomorrow with unwavering confidence and prowess. 



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