REGULATORY REPORTING & COMPLIANCE
We help our clients and partners achieve institutional, sustainable compliance.
Our 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.
Learn more about our consulting services for Consolidated Audit Trail (CAT), including CATalytics—our free, customizable dashboard providing analytics to CAT Operations teams.
Regulatory Reporting & Compliance
• Migration plan to a new trade repository, ARM, or APA
• Targeted compliance with jurisdictional regulations (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
• Implementation of remediation steps to help with your firm’s compliance process
• Dashboard view of entire reporting lifecycle along with operational intelligence controls that support proactive, independent monitoring of regulatory requirements
• 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
Our Regulatory Health Check helped a global bank identify gaps in its reporting obligations.
We enabled RegTek.Solutions to deliver its first SaaS offering.
We built out the APA for Deutsche Börse Group (DBG).
EXPLORE OUR ADDITIONAL SERVICES