SS&C Regulatory Solutions from SS&C Technologies

Comprehensive suite for regulatory reporting and compliance, including data management, report generation, and electronic filing. Supports global regulations like Basel III, Dodd-Frank, IFRS 9, MiFID II, and more.

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Product analysis by function

Regulatory Reporting for Compliance

Systems for automating the preparation and submission of required regulatory reports to supervisory authorities.
More Regulatory Reporting More Compliance ...

Data Integration & Extraction
(9 Yes /9 Known /10 Possible features)

Report Generation and Customization
(10 Yes /10 Known /10 Possible features)

Regulatory Compliance Coverage
(9 Yes /9 Known /10 Possible features)

Data Quality & Validation
(8 Yes /8 Known /10 Possible features)

Automation & Workflow Management
(8 Yes /8 Known /10 Possible features)

Security & Access Control
(9 Yes /9 Known /10 Possible features)

Audit & Traceability
(9 Yes /9 Known /10 Possible features)

Scalability & Performance
(5 Yes /5 Known /10 Possible features)

User Experience & Usability
(7 Yes /7 Known /10 Possible features)

Analytics & Business Intelligence
(8 Yes /8 Known /10 Possible features)

Support, Maintenance & Vendor Management
(9 Yes /9 Known /10 Possible features)

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Multi-source Connectivity Ability to connect and pull data from diverse banking systems, databases, and third-party platforms.		Marketed as supporting data consolidation from various internal and third-party systems.
Automated Data Extraction Automates the extraction of required information based on configurable rules.		Features include automated ingestion and extraction workflows; official collateral indicates robust automation.
Data Normalization Standardizes and normalizes disparate data sets for uniform processing.		Documentation highlights standardized reporting and normalization across formats for compliance.
Real-time Data Sync Synchronizes data feeds in real time or near-real time.		Describes real-time and near-time data synchronization for regulatory processes.
Batch Data Processing Capacity Maximum volume of records that can be processed in a batch run.		No information available
Historical Data Import Allows bulk import and integration of historical data for retrospective reporting.		Provides for onboarding of historical and legacy records as part of initial implementation.
Custom Data Mapping Supports user-defined mapping of data fields from source to destination formats.		Custom field mapping is mentioned as part of integration services and configuration.
Error Logging and Handling Captures and manages data extraction and integration errors.		Can log and flag integration errors, and provides exception management features.
Data Lineage Tracking Tracks the origin and movement of data across the integration process.		Data lineage and traceability included, important for regulated industries.
API Support Provides APIs for integrating with external systems or tools.		Offers APIs for partner and client integration with back-office or third-party systems.

Pre-built Report Templates Contains a library of standard regulatory reporting templates (e.g., Basel III, FATCA).		Has libraries of standard regulatory reports (Basel, Dodd-Frank, EMIR, etc.).
Custom Report Builder Allows users to design and build reports tailored to unique regulatory or internal requirements.		Supports custom report creation and tailoring for region or bank-specific needs.
Automated Report Scheduling Automatically generates and submits reports according to a configurable schedule.		Enables automatic generation and submission of reports on a schedule; referenced in product workflows.
Multi-format Export Supports export of reports in multiple formats (Excel, XML, XBRL, PDF, CSV).		Reports exportable as Excel, XML, XBRL, CSV and PDF. Stated in documentation.
Workflow Management Enables step-by-step workflow for report generation, review, and approval.		Workflow support noted for reporting, review, approval.
Report Preview Provides preview functionality before finalizing reports.		Preview, validation and adjustment available before submission.
Ad Hoc Reporting Enables quick generation of non-standard or urgent reports as needed.		Ad hoc and urgent reporting supported, according to product sheet.
Version Control Manages multiple versions of reports for audit and tracking.		Manages historical versions of reports to ensure traceability.
Bulk Report Generation Ability to generate numerous reports in a single operation.		Bulk/batch reporting options referenced for high-volume clients.
Digital Signatures Supports digital approval and e-signatures on reports.		Digital signature/certification included for approvals.

Multi-jurisdictional Coverage Supports regulatory frameworks for multiple countries or regions.		Supports frameworks in North America, EMEA, and APAC including Basel III, MiFID II, etc.
Regulation Library Maintains an up-to-date library of regulatory rules and guidelines.		Product includes a regulatory content library updated regularly.
Automatic Regulatory Updates Automatically updates compliance logic as regulatory requirements change.		Service includes ongoing updates for regulatory logic.
Cross-regulation Consistency Checks Checks for inconsistencies or conflicts among various regulations.		Cross-regulatory checks included per product materials.
Custom Compliance Rules Allows users to input and manage custom regulatory rules.		Allows configuration of custom compliance logics and exception rules.
Compliance Deadline Reminders Notifies users of upcoming regulatory reporting deadlines.		Integral to regulatory reporting: alerts for upcoming and missed deadlines.
Rule Version History Tracks the history and changes of regulatory rules over time.		Tracks regulatory rule and compliance versions, part of core audit features.
Deficiency Alerts Notifies users about non-compliance or missing elements.		System alerts for missing or noncompliant reports documented.
Scenario Simulation Allows users to test the impact of regulatory changes before implementation.		Scenario and 'sandbox' environments available for regulatory impact assessment.
Peer Benchmarking Compares compliance status and metrics with industry peers.		No information available

Automated Data Validation Checks for missing, incorrect, or outlier data values during data processing.		Automated validation and control checks are core components.
Duplicate Detection Identifies and flags duplicate records before submission.		Built-in duplicate and data quality checks referenced.
Validation Rule Library Provides built-in and customizable validation rules.		Includes library of validation rules and user customization.
Error Correction Workflow Facilitates identification and remediation of data errors.		Built-in workflows assist with error remediation and data cleansing.
Audit Trail for Corrections Tracks data corrections for transparency and governance.		Tracks all data corrections with approval/audit trail for transparency.
Field-level Validation Logging Records validation status at the granular field level.		Logs all field-level validation status for compliance evidence (SOC2 audit trace).
Data Completeness Ratio Ratio of fields populated to total fields required.		No information available
Threshold-based Alerts Sends alerts if data quality falls below predefined thresholds.		Threshold and data quality alerts part of QA process.
Validation Processing Speed Time taken to complete validation of typical data batch.		No information available
User-defined Exception Rules Allows users to define exceptions for validation checks.		Custom exception logic for validation supported by platform.

End-to-end Automation Automates the full reporting lifecycle from data extraction to report submission.		Advertised as 'end-to-end', automating all steps from ingestion to reporting.
Task Assignment Assigns roles and responsibilities to different users within the workflow.		Role-based workflows and task assignments referenced in documentation.
Approval Hierarchies Supports customizable multi-level approvals for reports.		Supports multi-level reviews and approvals (risk, compliance, final).
Workflow Visualization Provides graphical representation of reporting workflows.		Workflows visual and tracked in user interface.
SLA Monitoring Tracks workflow completion against service level agreements.		SLAs and workflow times can be tracked via management dashboard.
Batched or Parallel Processing Supports both sequential and parallel workflow processing.		Supports both sequential/batch and parallel processing configuration.
Alert Notifications Sends alerts for workflow bottlenecks or overdue tasks.		Workflow alert capability referenced, including exceptions and bottlenecks.
Automatic Escalation Escalates unresolved workflow items according to defined rules.		Automatic escalation supported for overdue or unresolved tasks.
Task Completion Time Average time required to complete a workflow task.		No information available
Integration with Task Management Tools Connects with external project management or collaboration tools.		No information available

Role-based Access Control (RBAC) Grants permissions based on defined user roles in the organization.		RBAC cited as core to security and compliance.
Data Encryption (at rest and in transit) Encrypts sensitive data when stored and during data transmission.		Encrypts all customer data in transit and at rest (SOC2 information).
Multi-factor Authentication Requires more than one form of verification before granting access.		Multi-factor authentication can be implemented according to deployment best practices.
Audit Logging Tracks user activity and system access for security monitoring.		Full audit logging for user activity and system events.
Granular Permission Control Allows fine-tuned user permissions down to field or function level.		Granular level permission assignment available for user groups.
Single Sign-On (SSO) Integrates with institutional authentication solutions.		Single sign-on is supported for enterprise clients.
Access Log Retention Period Duration for which access logs are retained.		No information available
Data Masking Masks sensitive information in views and exports as appropriate.		Can mask sensitive data in views/exports.
Compliance with Industry Standards Adheres to ISO 27001, SOC 2, GDPR, or equivalent standards.		Mentions ISO 27001, SOC2, and GDPR compliance.
Anomaly Detection Identifies unusual patterns of access or use.		Solution built to detect abnormal behavior as part of security.

Full Audit Trail Each action is logged with timestamp, user, and before/after values.		Each user/system action is logged with complete audit info.
Change Management Logging Tracks changes to data, reports, rules, and configurations.		Change management and configuration audit trail included.
Printable Audit Logs Supports exporting or printing audit logs for regulators.		Supports exporting/printing audit logs for auditors.
Audit Log Search Comprehensive search and filtering within audit trails.		Search/filter available within audit logs in user interface.
Retention Period Customization Allows setting custom data and log retention periods.		Retention policies for data and logs are configurable.
Tamper-evidence Logs are protected against unauthorized alteration.		Uses tamper-evident audit logs to preserve compliance evidence.
Drill-down Capability Allows auditors to investigate from high-level activity down to granular changes.		Auditors can drill down from summaries to detailed record changes.
Exception Audit Reports Generates audit reports of exceptions and anomalies.		Can produce exception and anomaly audit reports for compliance checks.
Reviewer Comments Tracking Keeps a record of comments and notes added during review or approval.		Tracks commentary and notes through workflows and approvals.
Time to Retrieve Audit Record Average time needed to retrieve a specific log entry.		No information available

Concurrent User Capacity Maximum number of users the system can support simultaneously.		No information available
Peak Data Volume Largest volume of data handled during peak reporting cycles.		No information available
Load Balancing Distributes processing workload for optimal performance.		Multi-tenant and enterprise-grade; vendor highlights load balancing for performance guarantee.
Uptime Guarantee Service level uptime commitment by the vendor.		No information available
Elastic Resource Allocation Ability to automatically allocate system resources based on current demand.		Cloud deployment supports elastic scaling and dynamic resource allocation.
Disaster Recovery Support Ensures system availability in the event of failures or disasters.		Offers disaster recovery and BCP as part of cloud/hosted solutions.
Response Time Average application response latency under normal load.		No information available
Data Archival Capacity Volume of data archived and retrievable for regulatory retention.		No information available
Geographic Load Distribution Option to distribute workload across global data centers.		Global infrastructure for cloud deployment and regional hosting.
On-demand Scalability Scaling system resources up or down without disrupting operations.		Advertised as allowing live scale-up/down based on client needs.

Intuitive User Interface Easy-to-navigate and logically designed screens and menus.		UI marketed as intuitive with client-specific customization.
Customizable Dashboards Allows users to personalize their reporting and compliance dashboards.		Customizable dashboards offered for risk, compliance, and management users.
Guided Workflows Provides step-by-step guidance through reporting tasks.		Workflow automation guides users through report creation and submission.
Accessibility Compliance Supports accessibility features for users with disabilities.		No information available
In-app Help and Documentation Embedded tips, tutorials, and documentation for user assistance.		In-app help and documentation embedded within the product.
Multi-language Support Interface available in multiple languages.		No information available
Mobile Compatibility Supports access and reporting from mobile devices.		Mobile access is available for report review/approval.
Keyboard Shortcuts Enables efficiency for power users with keyboard commands.		No information available
Bulk Actions Allows users to perform operations on multiple records or reports at once.		Can perform bulk actions and mass updates as needed.
Onboarding & Training Tools Built-in wizards or modules to onboard new users with minimal friction.		Onboarding and training modules included for enterprise clients.

Pre-built Analytical Reports Out-of-the-box analytics dashboards for common compliance metrics.		Standard dashboard/report templates for common compliance metrics out-of-the-box.
Custom Analytics Designer Allows creation of bespoke analytical and visualization reports.		Supports custom visualizations/analytics report creation.
Drill-down Analysis Enables users to explore higher or lower levels of detail as desired.		Drill-down from dashboards to granular report detail is supported.
Trend Analysis Identifies and visualizes long-term trends in regulatory or compliance data.		Trend and historical reporting accessible through dashboard analytics.
KPI Tracking Tracks and visualizes key compliance and reporting performance indicators.		KPIs for compliance and reporting included in the platform metrics.
Data Export for Analytics Exports raw or aggregated data for external analysis.		Data can be exported in raw or processed form for additional analytics.
What-if Scenario Modeling Simulates regulatory/reporting scenarios and their impact.		Scenario modeling built in to test impact of regulatory changes.
Dashboard Refresh Rate Frequency at which analytics dashboards are updated.		No information available
Third-party BI Tool Integration Connects to tools such as Tableau, PowerBI, or Qlik for advanced analytics.		Connectors available for Tableau, PowerBI, etc.
Forecasting/Prediction Capabilities Leverages historical data to predict upcoming compliance issues.		No information available

24/7 Support Availability Support team available round-the-clock for issue resolution.		Global client base—support offered 24/7 for issue resolution.
Dedicated Account Manager Provides a single point of contact at the vendor.		A dedicated account manager is included for enterprise clients.
SLA-based Issue Resolution Guaranteed response and resolution times as per SLA.		SLA-based incident and problem management offered.
Self-service Knowledge Base Online resources for common troubleshooting and FAQs.		User-facing knowledge base for product and regulatory FAQs.
Product Update Frequency Average frequency of major product updates or patches.		No information available
Onsite/Remote Training Options Comprehensive product training for users and administrators.		Provides both in-person and remote training offerings.
Custom SLAs Can tailor SLAs to client-specific needs.		SS&C offers custom SLA negotiations for certain clients.
Third-party Audit Support Assistance during regulatory or independent audits.		Vendor provides audit support as part of client contractual engagement.
User Community and Forums Access to peer support and shared best practices.		Community forums available for peer/client engagement.
API Documentation and Developer Support Comprehensive resources for integrating or extending the platform.		API documentation/developer support available for integration partners.

SS&C Regulatory Solutions from SS&C Technologies

Product analysis by function

Regulatory Reporting for Compliance

Data Integration & Extraction (9 Yes /9 Known /10 Possible features)

Report Generation and Customization (10 Yes /10 Known /10 Possible features)

Regulatory Compliance Coverage (9 Yes /9 Known /10 Possible features)

Data Quality & Validation (8 Yes /8 Known /10 Possible features)

Automation & Workflow Management (8 Yes /8 Known /10 Possible features)

Security & Access Control (9 Yes /9 Known /10 Possible features)

Audit & Traceability (9 Yes /9 Known /10 Possible features)

Scalability & Performance (5 Yes /5 Known /10 Possible features)

User Experience & Usability (7 Yes /7 Known /10 Possible features)

Analytics & Business Intelligence (8 Yes /8 Known /10 Possible features)

Support, Maintenance & Vendor Management (9 Yes /9 Known /10 Possible features)