Regulatory Reporting

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Regulatory Reporting Technology

With the introduction of thousands of pages of various regulatory reporting regimes world-wide, regulators demand timely and accurate data to be submitted by the affected legal entities. Legal entities are in return compelled to develop robust internal processes and systems in order to comply with the various reporting regimes such as EMIR, Dodd-Frank, MiFID2, MiFIR, Finfrag, CRS and SFTR amongst many others. Our in-house Circle technology is the regulatory solution utilized by many firms in order to successfully meet their regulatory reporting burdens.

Regulatory Reporting as a Service

Outsourcing or co-sourcing the regulatory reporting obligations is the most recent advancement in modern business, resulting in a more efficient, robust and scalable solution for firms, focusing on optimal results.

Connectivity, Matching, Automated Reporting

Transaction Reporting Solution

Features

  • Client On-boarding to the TR/SDR
  • Cross Asset Class Coverage
  • Automated Daily Procedure
  • Pre-matching / Reconciliation
  • UTI Generation
  • UTI Sharing
  • TR/SDR  Validations
  • Data Enrichment
  • Multi TR/SDR Connectivity
  • Collateral & Valuation Reporting
  • Daily Reports
  • Web Based Exception Management
  • Full Audit Trail

The PointNine Approach

Point Nine’s Circle Platform empowers firms to meet their transaction reporting requirements in an efficient and effective way. Circle is a single platform which processes data from various sources, covers all asset classes, translates and submits the reports to regulatory bodies into the format required and also the handles acknowledgment messages.

  • Client On-boarding to the TR.
  • Pre-matching
  • Automating the daily processing, enrichment, validations and submission to the TRs.
  • Exception management.
  • Updates according to regulation updates.
  • UTI/UPI management.
  • Cross asset class coverage.
  • Static data enrichment.
  • Security Via Amazon Web Services Infrastructure.
  • Daily reports at end of day.
  • Full audit trail.

Regulatory Reporting Scenarios

Direct Reporting

Regulatory Reporting Scenario - Direct Reporting

Full / Partly Delegated Reporting

Regulatory Reporting Scenario - Full / Partly Delegated Reporting

Buy Side Servicing

Regulatory Reporting Scenario - Buy Side Servicing