Regulatory Compliance

There’s no greater pressure on financial institutions than the need to evidence regulatory compliance. In an ever-changing legislative landscape trust and certainty are everything – but when technology has to flex to accommodate new regulations how can you guarantee control and data integrity?

CTC’s agile infrastructure was designed specifically to embrace change, none more so than for Regulatory Compliance.

Core regulatory initiatives are baked-in to the platform, while additional measures can be added quickly and efficiently at any time. Integrity is assured and evidence of control is easy to access at any time, withstanding the most stringent regulator scrutiny.

  • Real-time visibility and drill-down reporting – evidence of control easy to access at any time
  • Flexibility to add in additional controls – as regulation changes
  • Compliance baked-in – automated verification and validation of data removes internal admin and the risk of human error
  • Accuracy of reporting – easy to prove compliance

We engaged Gresham to provide technical expertise for a significant regulatory reporting remediation project. Gresham did a great job in reverting to our initial query with a solution that was beyond our expectation. It became very clear that the CTC product is already next-generation.

Adam Jesney, COO Sberbank
MiFID II

MiFID II

Get prepared for significant changes to transaction and trade reporting coming into force on January 3rd, 2018
FINRA

FINRA

Data integrity and governance for FINRA registered broker-dealers
Senior Managers Regime

Senior Managers Regime

Remove the personal risks associated with poor data integrity