Regulatory Compliance Benefits

Integrated regulatory compliance for the unregulated alternative finance market. We provide the necessary tools to extract, consolidate, convert, verify, resolve and enrich your financial marketplace data, whilst also providing automated trade reporting and exception management.

Delegated reporting service:

• Relieves the burden on human and internal resources assigned to trade reporting.
• Enables you to understand your trade reporting obligations.
• Ensures that reporting requirements and industry standards are met.
• Ensures you stay up-to-date with any regulatory changes.

We make the process easier, more transparent and more cost-efficient than doing it alone.

Data extraction, conversion and enrichment:

We have an in-depth knowledge of MT4 & MT5 integration and for companies who run multiple platforms through a back office, we can review how you extract trading information in the most efficient manner. After we extract the data, we will enrich and then validate it to ensure it meets submission requirements.

Reporting trades on your behalf:

A major benefit to delegating your reporting to us is that we do all the necessary on-boarding work for you, and manage any exceptions in your data before and after submitting your trade/transaction information to the relevant trade repository (TR) or approved reporting mechanism (ARM).

Specialist Advisory and Consultation:

Understanding the complexity of the reporting requirements is only the first step; applying them to your business creates an added layer of difficulty. We do this work for our clients by explaining to them their obligations and requirements in easy-to-understand ways, and provide regular industry updates.

 

Features

Data extraction, conversion and enrichment:

  • Extract/import data from your database/system
  • Consolidate data
  • Transform into required format
  • Verify data
  • Enrich data
  • Resolve breaks

Automated Trade Reporting:

  • Transmit data to TR/ARM
  • Download submission acknowledgements/errors
  • Exception management

Specialist advisory and consultation services (for non-institutional entities and startups):

  • Regular industry and regulatory updates
  • Point of contact for any questions or concerns
  • Guide you through the complexities of trade/transaction rules under EMIR, MiFID II and SFTR best execution regimes.
  • Register and maintain your Legal Entity Identifier (LEI)