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Regnology Reporting as a Service from Regnology
Designed for efficient regulatory reporting across multiple jurisdictions, offering modular features like automated data extraction, composition, and submission functionality.
Product analysis by function
Regulatory Reporting Tools for Risk & Compliance
Software that automates the preparation and submission of required regulatory reports such as Form PF, Form ADV, AIFMD reporting, and transaction reporting under various regulatory regimes.
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Data Integration
(9 Yes /9 Known /10 Possible features)
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Multi-Source Data Import Capability to ingest data from various formats, protocols, and platforms (e.g., databases, APIs, flat files, custodians). |
Product documentation and website indicate capability to ingest data from a range of formats and sources including cloud databases, APIs, and custodians. | |
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Real-Time Data Sync Synchronization of data feeds at or near real-time for up-to-date reporting. |
Described as supporting 'real-time reporting' and 'automatic data flows' to ensure up-to-date regulatory submissions. | |
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Data Validation Rules Built-in checks and logic to ensure data quality and flag inconsistencies. |
Lists checks, validations, and business logic to ensure quality and consistency of inbound data on its feature page. | |
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Data Enrichment Capabilities Ability to supplement imported data with reference, market, or external datasets. |
References the ability to enrich imported data with reference and market datasets, and to supplement client data with external data sources. | |
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Automated Data Mapping Tools to facilitate mapping of disparate data sources to unified reporting structures. |
Automated mapping from disparate sources to standard regulatory reporting templates is a core product component. | |
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Data Cleansing Functionality Automated routines to correct errors and fill missing values in data sets. |
Marketing literature specifically mentions automated error correction and data cleansing routines before filings. | |
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Support for Unstructured Data Ability to process documents, emails, or other non-tabular data sources. |
Product claims to support PDF and document ingestion for unstructured data processing relevant to regulatory submissions. | |
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Batch Data Processing Speed Time taken to process and transform datasets for reporting. |
No information available | |
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Data Lineage Tracking Ability to trace data origins and transformation history for audit purposes. |
Data lineage and traceability described as 'auditability' for compliance purposes. | |
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Manual Data Entry Support Functionality for entering data manually in the absence of automated feed. |
Explicit support stated for manual data entry in cases where no automated feed is available. |
Regulatory Coverage
(6 Yes /6 Known /6 Possible features)
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Multi-Jurisdiction Support Ability to handle regulatory rules for multiple countries and regions. |
Supports multi-jurisdiction regulatory requirements (Europe, North America, Asia) as a key use case. | |
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Regulation Specific Modules Pre-built modules/templates for major regulatory standards (e.g., AIFMD, UCITS, MiFID II, FATCA, EMIR, SEC, CFTC). |
Regulatory coverage includes AIFMD, UCITS, MiFID, EMIR, and other standards. | |
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Automated Rule Updates System updates regulatory rules automatically as new laws come into effect. |
System is advertised as being proactively updated when regulatory regimes change. | |
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Custom Rule Creation Admins can define custom compliance rules tailored to organizational policies. |
Offers configuration interfaces for clients to define internal compliance logic. | |
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Version Control on Regulation Logic Maintains historical versions of rule logic to support retrospective reporting. |
Versioning of logic/rules is included to allow retrospective re-reporting. | |
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Audit Trail on Rule Changes Logs and tracks all changes made to compliance and reporting rules. |
All changes to rules and reporting templates are logged and auditable. |
Reporting & Filing Capabilities
(9 Yes /9 Known /9 Possible features)
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Automated Report Generation Scheduled creation of required regulatory filings. |
Automated report generation and scheduled filings is a core function. | |
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Custom Report Designer Allows creation of bespoke reports in addition to standard templates. |
Custom report designer available in advanced modules to meet bespoke requirements. | |
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Multi-Format Export Export reports in all required electronic and paper formats (XBRL, XML, CSV, PDF, Excel, etc.). |
Support for XBRL, XML, Excel, PDF, and CSV export formats confirmed in documentation. | |
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Error and Exception Highlighting Automatically identifies and flags potential errors or omissions in draft reports. |
System highlights errors and exceptions in data and filings before submission. | |
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Direct e-Filing Integration Connects directly to regulators’ portals/APIs for automated submission. |
Direct e-filing integrations for regulators (e.g., FCA, BaFin, ESMA) are a standard feature. | |
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Filing Status Tracking Monitors the progress, success, or failure of each report submission. |
Filing status tracking and dashboards to monitor every report's submission process. | |
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Ad Hoc Reporting Enables rapid, one-off report production for non-routine compliance queries. |
Ad hoc reporting explicitly supported for compliance queries. | |
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Historical Filing Storage Stores previously submitted reports for comparison and retrieval. |
Historical filing repository advertised for auditing and reruns. | |
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Reporting Frequency Options Supports daily, monthly, quarterly, annual or ad-hoc schedules. |
System allows setup of varying report frequency including daily, quarterly, annual, and ad hoc. |
Workflow & Process Automation
(8 Yes /8 Known /8 Possible features)
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Role-Based Task Assignment Allocates tasks to individuals or teams based on permissions and expertise. |
Role-based task assignment is included for workflow and approval processes. | |
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Automated Alerts & Reminders Sends notifications for deadlines, approvals, and exception handling. |
Alerts, reminders, and notifications for deadlines are built-in for compliance tasks. | |
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Approval Workflow Customization Configurable multi-level review and sign-off processes. |
Approval workflows and sign-off levels can be customized via admin interface. | |
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Escalation Management Automatically escalates overdue tasks or exceptions to management. |
Built-in escalation management features for overdue exceptions and workflows. | |
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Task Status Dashboard Visualizes progress of all workflow tasks in real-time. |
Task dashboards offered for visualization of workflow in real time. | |
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SLA Monitoring Monitors workflow steps against Service Level Agreements. |
Service Level Agreement (SLA) monitoring functionalities built into workflow module. | |
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Automated Scheduling Allows pre-scheduling of recurring tasks and report runs. |
Task and report scheduling capabilities are highlighted for recurring processes. | |
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Exception Handling Rules Predefined responses to common exceptions or workflow bottlenecks. |
Exception handling logic/rules as configurable templates. |
User Access & Security
(6 Yes /6 Known /7 Possible features)
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Role-Based Access Control (RBAC) Access permissions can be defined per user or group. |
User permissions and access rights by group or individual role are key security features. | |
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Multi-Factor Authentication (MFA) Supports two/multi-factor authentication for user login. |
MFA is available and mandated for access to production environments. | |
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Single Sign-On (SSO) Integration Allows users to log in with corporate credentials. |
Single Sign-On (SSO) via SAML, Azure AD, and other providers offered. | |
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Audit Logging Tracks all user actions for monitoring and compliance. |
Audit logging for user actions, data changes, and access per compliance requirements. | |
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Encryption at Rest and in Transit Data is encrypted both when stored and when sent between systems. |
Encryption in transit and at rest confirmed (ISO 27001/FINMA/SOC2 documentation). | |
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Granular Data Permissions Fine-grained control over which data a user can view or edit. |
Granular permissions configurable for data visibility and editing down to field level. | |
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Time-Based Access Control Ability to restrict system access to specific hours or dates. |
No information available |
Audit & Transparency
(6 Yes /6 Known /6 Possible features)
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Full Data Audit Trails Tracks every change to relevant data, reports, and workflows. |
Audit trail and full tracking of report modifications and workflow steps are emphasized. | |
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Audit Log Export Ability to export audit logs for regulator or auditor review. |
Audit logs can be exported for regulator and auditor review. | |
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Immutable Records Stores all changes in a tamper-evident manner. |
Immutable records kept for regulatory evidence, according to Regnology documentation. | |
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Report Reconciliation Logs Logs comparisons between system data and filed reports. |
Report reconciliation logs and comparison to source data available as audit feature. | |
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User Action History View actions performed by each user on specific records or reports. |
User action history tracked per user per filing or workflow. | |
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Change Reason Capture Requires users to provide rationale for material changes. |
Product can require users to enter rationale for material changes to reports. |
Analytics & Monitoring
(5 Yes /5 Known /6 Possible features)
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Exception Trend Analysis Tracks patterns in reporting errors or regulatory breaches over time. |
Exception analysis and reporting module to monitor trends in submission errors. | |
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Compliance Dashboard Visual interface summarizing key compliance risks and activities. |
Compliance dashboards visualize activity, key risks, and deadlines. | |
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Data Quality Metrics Monitors consistency, completeness, and accuracy of reporting data. |
Data quality statistics tracked and made visible through metrics dashboard. | |
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Historical Comparison Reports Allows period-to-period comparison to identify discrepancies or risks. |
Product enables reporting comparisons across time periods for risk/compliance insights. | |
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Outlier Detection Automatically flags results that deviate from norms. |
Automated outlier detection for error and compliance anomaly spotting. | |
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Workflow Efficiency Metrics Measures task throughput and identifies bottlenecks. |
No information available |
Configurability & Customization
(3 Yes /3 Known /5 Possible features)
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Custom Workflow Builder Design and deploy custom task and approval steps. |
Workflows can be configured and tailored for custom approval chains. | |
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Configurable Data Fields Add, remove, or modify data fields for changing needs. |
Data fields and structures are customizable by administrators. | |
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White-Labelling Options Apply custom branding to user interfaces and reports. |
No information available | |
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User Interface Personalization Enables individual users to customize their dashboards. |
No information available | |
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Rule Engine for Custom Logic Allows non-technical users to define new rules and triggers. |
Business users can define basic logic and triggers through UI in some editions. |
Integration & API Capabilities
(3 Yes /3 Known /5 Possible features)
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Open REST/SOAP APIs Enables external systems to connect and automate data exchanges. |
API documentation available for REST integration; SOAP support may depend on module. | |
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Pre-Built Integrations Available plugins for common fund management and accounting platforms. |
Pre-built connectors for fund/asset management and accounting platforms (e.g., SimCorp, Advent). | |
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Webhook/Event Notification Support Outbound triggers for events like report completion or data changes. |
No information available | |
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API Call Throughput Maximum number of API requests supported per second. |
No information available | |
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Bulk Data Upload & Download Ability to move large data sets efficiently. |
Large files and bulk uploads (for initial or retroactive reporting) described in documentation. |
Scalability & Performance
(1 Yes /1 Known /4 Possible features)
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Horizontal/Vertical Scaling System can scale out by adding resources or nodes. |
Cloud-based design supports horizontal scaling for users and data volumes. | |
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Concurrent User Limit Maximum number of users able to use the system simultaneously. |
No information available | |
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High Availability/Uptime SLA Service level guarantee for system availability. |
No information available | |
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Peak Load Processing Speed Performance under heavy data or usage peaks. |
No information available |
Support & Documentation
(6 Yes /6 Known /6 Possible features)
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24/7 Technical Support Around-the-clock assistance for critical issues. |
24/7 global support stated explicitly for this SaaS offering. | |
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Comprehensive User Documentation Detailed manuals and online help resources. |
Comprehensive manuals and online help center described and linked from website. | |
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Integration Support Services Assistance for connecting the product with other systems. |
Integration support services available for onboarding and troubleshooting. | |
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Dedicated Account Manager A single point of contact for complex support needs. |
Key enterprise clients assigned dedicated account managers. | |
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Onboarding & Training Packages Structured user education for rollout and adoption. |
Onboarding and training packages are part of customer offering. | |
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Compliance Alert Service Proactive notifications of regulatory changes impacting reporting. |
Regulatory change tracking and proactive alerts to customers regarding relevant developments. |
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