Regulatory Trade and Transaction Reporting

Adopt a strategic approach to your regulatory reporting

Reduce risk and demonstrate compliance for new regulations and market practices across all asset classes and securities finance transactions.

Strategic solutions for mandatory trade and transaction reporting; trade position and activity verification

Reduce exposure to new and evolving reporting mandates globally such as Dodd-Frank, EMIR, MiFID II, CAT, SFTR and 10C-1.

Trade and Transaction Reporting

Multiple Jurisdiction Coverage

Trade Position Verification

Enterprise Control Framework

Regulatory reporting transparency and compliance through a central strategic model

A multi-jurisdictional and cross-asset class solution that supports both real time and end-of-day reporting. A single dashboard provides consolidated operational control and exception management.

Product Specifications

Trade and Transaction Reporting

Control and transparency for reporting to multiple repositories in North America, EMEA and APAC from multiple internal systems across asset classes

Available on an installed or hosted basis
Rules-based, built-for-purpose strategic platform
Business rules validation to identify pre-submission errors
Robust and proven for Dodd-Frank, EMIR, MiFID II, CAT, SFTR and other jurisdictions
Single solution for all asset classes and reporting destinations
Highly configurable dashboards to handle regulatory operations monitoring, workflow and remediation
Real-time and T+1 reporting

Enterprise Control Framework

A fully configurable workflow exception management solution with dashboards and reporting to assist root cause analysis

Holistic view of trade status
One solution for all asset classes, including OTC, listed derivatives, equities, fixed income and securities financing
Error classification, prioritisation and assignment
Data lineage and reporting rule transparency
Full audit trails

Trade Position Verification

End-to-end position or activity reconciliation for each reporting obligation proving completeness and accuracy of your reporting through a single platform

Harmonize incoming data from external repositories for all jurisdictions and asset classes
Harmonize data from multiple internal source systems
Verify trade position economics from external repositories against internal books and records, and highlight exceptions and issues in a user configurable dashboard
Enable routing and tracking of exceptions to appropriate internal consumers or systems for action
Provide a full audit of human actions, detailed break ageing, root cause analysis and KPIs
Reduce operational costs and risk of errors, and provide confidence that regulatory reporting meets your compliance obligations