Regulatory Reporting
Delivering an end-to-end solution for regulatory reporting on a global basis
Regulatory reporting scope has seen a phenomenal increase over the last decade in both complexity and scrutiny, placing more controls and governance requirements onto reporting institutions. With a global financial market, this is compounded through a plethora of jurisdictional specific requirements that an institution must comply with. In parallel with needing to comply with a growing variety of requirements, institutions are also looking to reduce cost and simplify the reporting process while maintaining reporting accuracy.
Regulatory compliance
► Dedicated team of experts monitoring, analysing and identifying regulatory changes
► Solutions are constantly updated to align with the latest regulatory updates
► Inventory continuously expands to cover new requirements
Lineage and audit trail
► Lineage from source data to reports (and vice versa)
► Drill-down from results to source data
► Transparency over the complete data journey
Adjustments
► Update filings (data and report level) through an intuitive interface prior to submission
► Full audit trail of all adjustments and history tracking
► Approve-checker controls
Regulatory submission
► Supporting all regulatory submission formats – XML, XBRL, Structured Data, etc.
► Direct submission from the tool to regulators with active status updates
► Multi-entity submission and consolidation supported
Data integration and management
► Integrate with existing sources (DB, flat files, API)
► Data can be reused as many times as needed
► Data lineage & governance alignment
Reporting Operations
► Platform inherits the instructions operational model
► Embedded workflow tool for reporting automation and orchestration
► Automated alerts
► Sign-off & data freezing for preservation of historical filings
Validations
► Inbuilt regulatory validation rules both inter and intra series checks ensuring consistency and accuracy
► Data quality checks at the source and report level
► Custom validations can be added easily
Business Rules and Data Dictionaries
► Pre-built logic ensuring accurate and expedited implementation
► Dynamic rules management maintains data lineage throughout the workflow
► Ease of extending data and rules across reports
Regulatory Reporting Platform
North America
Product coverage:
- US FRB Reporting
FR Y-9C, Call Reports, FFIEC 009, FR Y-15, etc.
- US FRB Risk Reporting
FFIEC 101, FR 2052a, FR 2590, etc.
- US CCAR Reporting
FR Y-14 M/Q/A
- US Resolution Planning
FDIC Part 370, Qualified Financial Contracts (QFC)
- US Broker Dealer
FOCUS, Supplemental and Swaps reporting, TICs
- US Reconciliation Solutions
CCAR to FRB reports, BHC and bank level recons, FR 2052a to FR Y-9C/FFIEC 002
- US Other Banking Reporting
TIC and BEA Reporting
- Canada Statutory Reporting
OSFI, StatCan, Bank of Canada
- Canada Capital Reporting
BCAR, Pillar III, NCR, LRR
LATAM
Product coverage:
- US Reconciliation Solutions
CCAR to FRB reports, BHC and bank level recons, FR 2052a to FR Y-9C/FFIEC 002
- Argentina Reg Reporting
AFIP, AGIP, ARBA, AREF, ATER, ATM, ATP, COMARB, DGR, UIF, BCRA, CNV
- Brazil Reg Reporting
Banco Central do Brasil, FGC
- Brazil Risk Reporting
DLO, DDR, DRM, DRL, DLI
- Colombia Reg Reporting
BANREP, ASOBANCARIA, UIAF, SFC, DIAN, CIFIN, SHD, DANE
- Dominican Republic Reg Reporting
SB, Bancentral
- Chile Reg Reporting
SBIF, BCC, CMF, SII
- Mexico Reg Reporting
CNBV, BMV, IPAD, CONSAR, BANXICO, CONDUSEF
- Peru Reg Reporting
SBS, BCRP
APAC
Product coverage (Australia, India, Singapore, Hong Kong, Taiwan, Malaysia, China, Taiwan):
- Australia Reg Reporting
APRA ADI
- China Reg Reporting
CBRC, PBOC
- Hong Kong Reg Reporting
HKMA
- India Reg Reporting
IFSC, RBI
- Japan Reg Reporting
Bank of Japan, FSA, JSDA
- Korea Reg Reporting
Bank of Korea
- Malaysia Reg Reporting
Bank Negara Malaysia
- Philippines Reg Reporting
BSP, PDIC
- Singapore Reg Reporting
MAS
- Taiwan Reg Reporting
CBC, FEB, TWSE
Europe, UK & Switzerland
Product coverage:
- EU/EEA Reg Reporting
COREP, FINREP, Asset Encumbrance, AnaCredit, SHS, IReF
- Austria Reg Reporting
OeNB
- Belgium Reg Reporting
NBB, FPSF
- Denmark Reg Reporting
DFSA
- Finland Reg Reporting
FSA
- France Reg Reporting
BdF, ACPR, AMF, FGDR
- Germany Reg Reporting
BaFin, BBK
- Guernsey Reg Reporting
GFSC
- Ireland Reg Reporting
CBI
- Italy Reg Reporting
BdI
- Liechtenstein Reg Reporting
FMA
- Luxembourg Reg Reporting
BCL, CSSF
- Malta Reg Reporting
Central Bank of Malta
- Netherlands Reg Reporting
DNB
- Norway Reg Reporting
FSA
- Poland Reg Reporting
NBP, GUS
- Spain Reg Reporting
BdE, AEAT, CNMV, SEPBLAC
- Sweden Reg Reporting
FI, SCB
- Switzerland Reg Reporting
SNB, FINMA
- UK Reg Reporting
BoE, FCA, FSA, PRA
Middle East & Africa
Product coverage:
- Bahrain Reg Reporting
CBB
- Oman Reg Reporting
CBO
- Saudi Arabia Reg Reporting
SAMA
- UAE Reg Reporting
CB UAE, DFSA
- South Africa Reg Reporting
SARB
Benefits for You
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Web-based UI
Clean, user-friendly interface enables you to view the full end-to-end process and manage your entire regulatory process in transparent detail -
Workflow automation
End-to-end framework necessary for the automation of each report. Platform inherits institution’s operational mode.
-
Intelligence
Edit Checks, Validation Rules, Intra-series, Inter-series and Reconciliation checks to ensure accuracy of information being submitted. Embedded analytics (variance, trend, etc.) ensures report consistency and accuracy.
Centralized inventory
Direct submissions to any Regulatory Agency across multiple reporting formats including XBRL, XML, TEXT, and spreadsheets.
Audit defense
Data persistence and lineage enabled drill downs with complete transparency of all data enrichments and aggregations.
Efficient Regulatory Compliance
Direct communication with regulators keeps Nasdaq ahead of upcoming changes, while issuing timely updates. The modular architecture enables on-boarding new regulations in a seamless, efficient and quick manner
Risk & Financial Regulatory Reporting Solutions
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