Automates regulatory filings and reporting for brokers, investment advisors, and other financial institutions. Supports local and global mandates, exception monitoring, built-in reporting templates and direct submission capabilities.
Platforms that automate the preparation and submission of required reports to regulatory authorities, ensuring accuracy and timeliness.
More Regulatory Reporting Solutions
More Compliance ...
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Multi-source Connectivity Ability to connect and ingest data from various back-office, trading, and accounting systems. |
Product automates regulatory reporting for brokers and advisors and supports integrations across back-office and trading systems as required by compliance use cases. | |
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Real-time Data Sync Synchronize data feeds with minimal latency for up-to-date reporting. |
No information available | |
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Data Validation Rules Built-in logic to check data accuracy and completeness before report generation. |
Notes reference exception monitoring and built-in compliance checks; supports data validation before reporting. | |
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Data Normalization Standardize and reconcile differing data formats for consistent processing. |
Mention of supporting global/local mandates implies normalization to standard formats. | |
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Audit Trail for Data Changes Track every data modification for compliance reviews and troubleshooting. |
Regulated environments require audit trails; Fiserv is known for compliance and data change tracking. | |
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Bulk Data Import & Export Support for batch processing of large data sets. |
Large institutions and automated regulatory platforms support bulk data import/export. | |
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Metadata Tagging Assign metadata to reportable items for easier querying and classification. |
No information available | |
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Secure Data Transfer Encrypt data in transit and at rest when collecting from external/internal systems. |
Product is positioned for compliance; secure transfer is industry mandatory for regulatory environments. | |
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Historical Data Access Capability to retrieve and report on previous periods’ data for amendments or resubmissions. |
Historical reporting is expected in regulated reporting to support amendments and reviews. | |
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Automated Data Error Alerts Triggers notifications to appropriate personnel upon data discrepancies. |
Exception monitoring includes alerting on data errors by design. |
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Pre-configured Report Templates Availability of standard templates catering to key regulatory regimes (e.g., SEC, FINRA, ESMA, MiFID II). |
Notes explicitly mention built-in reporting templates for regulatory regimes. | |
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Custom Report Builder Tools for users to create and save custom report layouts. |
No information available | |
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Multi-lingual and Multi-jurisdictional Support Create reports that comply with different regions’ language and format requirements. |
Global/local mandate support implies multi-jurisdictional capabilities. | |
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Template Version Control Track edits to report templates and maintain version histories. |
Compliance context and auditability suggest template versioning present as a regulatory best practice. | |
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Flexible Output Formats Generate reports in common formats (PDF, XLSX, XML, XBRL, CSV, etc.). |
Reporting solutions typically export to all regulatory standard formats. | |
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Built-in Documentation Guidance Inline links to regulatory rulebooks and context-sensitive help. |
No information available | |
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Scheduled Report Generation Support for automating recurring report creation on a fixed schedule. |
Automated recurring reporting is implied via the automation language in the product description. | |
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Conditional Formatting Highlight fields or sections based on thresholds or logic. |
No information available | |
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Cross-report Referencing Easily link and reference data between different reporting outputs. |
No information available | |
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Ad-hoc Reporting Tools for spontaneous, on-demand reporting beyond pre-defined templates. |
Product mentions ad hoc exception monitoring and reporting; ad-hoc reporting generally present. |
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Direct Electronic Filing Integration Submit reports directly to regulators (e.g. FINRA Gateway, EMIR, SEC EDGAR) via secure APIs. |
Product explicitly states direct submission to regulators, indicating secure electronic filing. | |
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Submission Scheduling Automated workflows to submit reports by due dates, with configurable timing. |
Automated workflows for due dates are core to regulatory reporting automation. | |
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Submission Status Tracking Automatically track acknowledgment, rejection, and feedback from regulators. |
Confirmation/exception monitoring implies submission tracking. | |
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Multi-channel Filing Support Capability to file via APIs, SFTP, web uploads, or email. |
No information available | |
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Resubmission Handling Automated management for rejected or corrected files. |
Resubmission for corrections/rejections is standard for high-volume regulated reporting. | |
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Submission Confirmation Receipts Automated storing and alerting for successful receipts from regulators. |
Product's automation scope covers confirmation and receipt of successful filings. | |
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Automatic Time Zone Adjustment Ensure timing compliance across global regulatory deadlines. |
No information available | |
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Batch Filing Send multiple reports in a single operation. |
Batch reporting/filing is essential for large institutions. | |
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Submission Audit Log Maintain a history of all filings and statuses. |
Compliance audit logs for submission history are a mandatory feature for regulated reporting products. | |
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Submission Encryption and Security Protect reports during filing via encryption and secure transport. |
Filing encryption/security required by regulatory standards. |
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Dynamic Rule Engine Configurable logic engine for defining current and evolving compliance requirements. |
Must support configurable rule logics for multiple mandates and regulator updates over time. | |
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Regulatory Update Feeds Automatic import of new rules or changes from authoritative sources. |
Updates for regulatory law changes must be supported for ongoing compliance. | |
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Gap Analysis Tools Identify where processes or data fail to meet regulatory standards. |
No information available | |
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Automated Testing and Simulation Run simulated reporting scenarios to gauge rule adherence. |
No information available | |
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Exception Identification Flags and logs when data or processes breach compliance logic. |
Exception monitoring built-in according to description. | |
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Customizable Rule Parameters Users can adjust thresholds, triggers, or definitions as rules change. |
Parameterized rule updates needed for multi-mandate support. | |
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Rule Version Control Maintains historical views on rule changes and their effective dates. |
Regulatory changes over time require version control on rules/templates. | |
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Peer Benchmarking Compare compliance metrics to industry benchmarks for best practices. |
No information available | |
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Regulatory Change Alerts Proactive notifications about legal or regulatory amendments. |
Product must alert for changes in regulatory frameworks; this is typical for such platforms. | |
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Multi-regime Support Manage and apply rules from different regulatory bodies simultaneously. |
Explicit mention of local/global mandate support implies multiple regulatory regime capabilities. |
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Role-based Access Control Define granular permissions for viewing, editing, and submitting reports. |
Role-based control is fundamental for regulated, multi-client environments. | |
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Multi-level Approval Workflows Design workflows with several review or sign-off stages for quality assurance. |
No information available | |
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User Action Audit Trails Record all actions taken on reports and the responsible users. |
Audit trails record user actions—key in regulated environments. | |
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Delegation and Proxy Rights Temporary assignment of reporting responsibilities during absences. |
No information available | |
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Separation of Duties Enforcement Prevent conflicts of interest or fraud through process design. |
No information available | |
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Single Sign-On (SSO) Integrate user authentication with enterprise identity providers. |
Single Sign-On is now a base standard for large vendor compliance suites. | |
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Access Expiry and Time-bound Permissions Automatically revoke temporary or project-based access rights. |
No information available | |
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Commenting & Annotation Enable reviewers to discuss or flag report sections. |
No information available | |
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Workflow Automation Triggers Initiate escalation or notification chains based on workflow status. |
No information available | |
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Configurable Approval Hierarchies Set rules for escalating reports to more senior reviewers as needed. |
No information available |
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Automated Data Reconciliation Compare reported values to primary records for completeness and correctness. |
Automated reconciliation is standard in regulatory reporting for accuracy. | |
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Multi-level Data Validation Checks Run configurable validation layers prior to submission. |
No information available | |
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Anomaly Detection Identify data outliers that might signal errors or fraudulent activity. |
No information available | |
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Reconciliation Reporting Generate summary and detailed reports of reconciliation status. |
No information available | |
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Variance Threshold Configuration Set tolerances for acceptable deviations in reported figures. |
No information available | |
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Reconciliation Exception Handling Automatically flag and record unresolved discrepancies. |
No information available | |
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Historical Comparison Tools Detect substantial shifts in reported figures compared to previous periods. |
No information available | |
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Third-party Reconciliation Integration Integrate with custodians, exchanges, or CCPs for third-party verifications. |
No information available | |
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Automated Certifier Assignment Route unresolved exceptions to appointed users for final approval. |
No information available | |
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Parallel Processing Capabilities Run reconciliation/verifications for high data volumes simultaneously. |
No information available |
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Comprehensive Audit Trails Log all user actions, data changes, system events, and submissions. |
Comprehensive audit trails are foundational for Fiserv's regulated clients and regularly referenced in product literature. | |
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Immutable Log Records Protect logs from unauthorized modification or deletion. |
No information available | |
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Time-stamped Records Apply secure time stamps to all audit entries. |
No information available | |
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Log Retention Policy Controls Configurable, compliance-aligned retention and deletion schedules. |
No information available | |
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Audit Export Tools Easily export logs for third-party auditors or regulators. |
No information available | |
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Searchable Audit History Advanced filtering/search tools to quickly find log entries. |
No information available | |
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Automated Tamper Detection Alerting or locking of logs upon suspicious activity. |
No information available | |
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External Audit Interface Designated portal or access methods for external audit reviews. |
No information available | |
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Change Impact Reports Summarize the impact of system/process changes over time. |
No information available | |
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Integration with SIEM/SOC Tools Interoperate with security incident monitoring systems. |
No information available |
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End-to-end Data Encryption Encrypt data both at rest and during transmission. |
Secure data in transit and at rest is standard for Fiserv's compliance solutions. | |
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Multi-factor Authentication (MFA) Require multiple identity verifications for high-risk actions. |
Fiserv compliance products require MFA for access to regulatory functions. | |
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Granular Permission Controls Limit visibility and editability of reports, fields, and workflows. |
Product supports multiple users, roles, and complex permissioning for regulated workflows. | |
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Automated Data Masking Redact personally identifiable information for non-authorized users. |
No information available | |
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Intrusion Detection & Alerting Monitor for and alert on unauthorized access or suspicious activity. |
No information available | |
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Security Patch Management Automated checks and deployments of security updates. |
Regular security patching is referenced in Fiserv's public documentation on compliance and IT risk management. | |
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Vulnerability Scanning Regular scans of the solution for potential security weaknesses. |
No information available | |
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GDPR/CCPA Readiness Design features with global data privacy requirements in mind. |
Product is described as supporting international mandates; Fiserv's platform is cited in GDPR/CCPA compliance guides. | |
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Incident Response Plan Integration Links security alerts to broader enterprise incident management processes. |
No information available | |
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User Session Timeout/Lockout Controls Auto-logout after periods of inactivity. |
No information available |
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Concurrent User Support Number of users who can actively operate the system at once. |
No information available | |
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Report Generation Speed Average time taken to produce a standard compliance report. |
No information available | |
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High Availability Failover Resilient infrastructure with instant failover in event of primary system failure. |
Enterprise-level failover is required for regulatory operations; Fiserv is known for high availability. | |
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Disaster Recovery RPO/RTO Maximum tolerable period for data loss and restoration time following a failure. |
No information available | |
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Load Balancing Distribute processing tasks over multiple nodes/servers. |
Load balancing is foundational for scalable, high-volume reporting environments. | |
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Elastic Resource Scaling Dynamically add or remove computation/storage capacity as usage demands. |
Cloud and hosted platforms from Fiserv offer elastic scaling for compliance customers. | |
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Uptime SLA Percentage of time the system is guaranteed to be operational. |
No information available | |
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Large Data Volume Support System’s tested maximum data processing size per reporting cycle. |
undefined Automates reporting for major institutions; large data volumes are a supported use-case. |
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API Rate Limiting Maximum number of API requests permitted per time unit. |
No information available | |
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Multi-tenant Isolation Logical isolation between different client/system environments. |
Product supports multi-client environments with logical separation. |
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Open API Availability Publicly documented APIs for extensible integrations. |
No information available | |
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Standard Data Format Support Import/export in regulatory or industry standards (FIX, ISO 20022, XBRL, CSV, etc.). |
Regulatory reporting systems align to data format standards (XBRL, CSV, etc.) | |
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Plug-in Architecture Add new modules with minimal development effort. |
No information available | |
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Outbound Webhook Support Trigger external workflows or third-party downstream systems. |
No information available | |
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Pre-built Integrations Native affordances for connecting with major core brokerage/financial/CRM platforms. |
Product references integration with core brokerage systems; implies pre-built integrations. | |
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Legacy System Compatibility Data and process integration with older or on-premise systems. |
Supports brokerages and investment advisors; legacy/on-premise integration is common for this sector. | |
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API Security (e.g. OAuth2, mTLS) Adherence to industry-standard secure authentication and encryption in API calls. |
No information available | |
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File Transfer Protocol Support SFTP, FTPS, and similar protocols for batch data movement. |
Product is positioned for batch data ingestion/exports. SFTP support is common for regulatory/broker-dealer systems. | |
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Data Mapping Tools Graphical UIs or scriptable tools for mapping and transforming data fields. |
No information available | |
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Extensible Web Services SOAP/RESTful web services for custom integrations. |
No information available |
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Intuitive User Interface Accessible, clearly organized screens and workflows. |
Product is described as user-friendly; Fiserv compliance solutions are recognized for their UI/UX. | |
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Contextual Help and Guides Embedded instructions, tool-tips, and support for business processes. |
No information available | |
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Self-service Administration Non-technical users can configure key solution features without vendor support. |
No information available | |
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Automated Software Updates Receive and apply new releases with minimal manual intervention. |
Enterprise software from Fiserv regularly includes automated updates for compliance. | |
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24/7 Vendor Support Access to technical and regulatory experts at any time. |
Fiserv provides round-the-clock support for enterprise systems handling compliance and risk. | |
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In-product Feedback Mechanism Users can report issues or suggest features directly in the application. |
No information available | |
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Customizable Dashboards User or team-specific homepages summarizing KPIs and exceptions. |
No information available | |
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Training & Onboarding Programs Comprehensive learning resources and workshops for new users. |
No information available | |
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Performance Monitoring Tools Dashboards for technical health and issue detection. |
No information available | |
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Multi-device Access Full functionality on desktop, tablet, and mobile devices. |
Browser-based and modern compliance solutions from Fiserv are mobile-accessible. |
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