Regulatory

Control provides assurance that regulatory trade and transaction reporting is complete, accurate and timely across multiple jurisdictions and asset classes. Giving compliance and operations teams a single view of reportable data sets and demonstrating supervisory procedures, controls and audit to the regulator​

Enhances data accuracy and integrity through daily validation and reconciliation of reportable fields. Ability to use 3rd party reference sources for Counterparty Static, Security Master and integrations with ANNA-DSB and GLIEF for ISIN and LEI lookup​

Complete end to end reporting automation from integration with data sources to regulatory end points. Trading activity from Fund Administrators, Order, Execution and Portfolio Management systems can be mapped and harmonised into one reporting data model​

Support for global G20 trade and transaction reporting regimes with connectivity to regulatory end points such as FINRA, Trade Repositories and ARM/APA’s, FINRA TRACE, EMIR, MAS, ASIC, DFA CFTC, HKMA, MiFIR, MiFID including UK and EU variants​

Utilises industry-leading standards and initiatives such as ISO 20022, ISDA’s Digital Regulatory Reporting (DRR) and Common Domain Model (CDM) with CPMI-IOSCO Critical Data Elements (CDE), ensuring consistent, standardised and harmonised data management and controls​

Support for both sell side and buy side reporting including firms who need oversight for reporting that has been delegated to counterparties which often results in trades and transactions centralised in multiple trade repositories such as DTCC, Regis-TR, KDPW and Unavista​