REGULATORY REPORTING & COMPLIANCE
Helping you achieve sustainable compliance.
Risk Focus clients rely on our deep regulatory, institutional, security, and data strategy experience, which informs all of our regulatory trade and transaction reporting solutions. We use a unique SWAT team approach to find gaps and recommend actionable steps for remediating your processes and systems.
Our thorough understanding of capital markets business regulations allows us to address your firm’s situation and guide you toward establishing an independent control framework.
Health check for existing regulations
- Helping firms migrate from CME/NEX Abide to a new Trade Repository, ARM, or APA
- Structured, targeted engagements focusing on compliance with jurisdictional regulation (Dodd-Frank, EMIR, MiFID II, Canada, ASIC, MAS, FRTB, CAT, SFTR, etc.)
- Identification of under-, over-, and incorrectly-reported trades and transactions
- C-Level summary of findings and recommendations, including remediation
Preparation for new regulations
- Detailed analysis of your firm’s path to compliance
- Establishment of work streams, development of specs, and testing applicable use cases
- Guidance on overall data strategy, retention, and sustained usability
- Procedures and training materials
Support for ongoing compliance
- Implementation of remediation steps to help with your firm’s compliance process
- Dashboard view of the entire reporting lifecycle along with operational intelligence controls that support proactive, independent monitoring of regulatory requirements