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FactSet Regulatory Solutions from FactSet
Offers integrated services for regulatory reporting, performance analytics, and risk analytics while ensuring compliance and regulatory standards are met.
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.
More Regulatory Reporting Tools
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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). |
FactSet Regulatory Solutions explicitly lists integration of multiple data sources including databases, APIs, and custodian feeds in product documentation. | |
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Real-Time Data Sync Synchronization of data feeds at or near real-time for up-to-date reporting. |
Marketing materials highlight the near real-time synchronization for up-to-date regulatory reporting. | |
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Data Validation Rules Built-in checks and logic to ensure data quality and flag inconsistencies. |
FactSet advertises the use of built-in validation checks and logic to ensure accuracy and data integrity in filings. | |
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Data Enrichment Capabilities Ability to supplement imported data with reference, market, or external datasets. |
FactSet includes enrichment by leveraging proprietary and third-party reference and market datasets. | |
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Automated Data Mapping Tools to facilitate mapping of disparate data sources to unified reporting structures. |
Product documentation shows automated data mapping and standardized reporting templates. | |
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Data Cleansing Functionality Automated routines to correct errors and fill missing values in data sets. |
FactSet provides tools for identifying and repairing incomplete or erroneous data prior to reporting. | |
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Support for Unstructured Data Ability to process documents, emails, or other non-tabular data sources. |
FactSet states support for unstructured data processing (emails, PDFs, document parsing) as part of onboarding and enrichment services. | |
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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. |
System provides full traceability of data origins, transformation, and final report submissions. | |
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Manual Data Entry Support Functionality for entering data manually in the absence of automated feed. |
User interface supports manual data entry when automated sources are unavailable. |
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 compliance across US, UK, EU and APAC markets, reflecting multi-jurisdiction coverage. | |
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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). |
FactSet Regulatory Solutions provides modules/templates for AIFMD, UCITS, EMIR, MiFID II, FATCA and more. | |
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Automated Rule Updates System updates regulatory rules automatically as new laws come into effect. |
FactSet delivers automated regulatory updates for supported jurisdictions. | |
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Custom Rule Creation Admins can define custom compliance rules tailored to organizational policies. |
Product allows clients to define custom compliance rules and policy workflows. | |
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Version Control on Regulation Logic Maintains historical versions of rule logic to support retrospective reporting. |
Versioning and rollback of rules are part of the compliance engine for auditability. | |
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Audit Trail on Rule Changes Logs and tracks all changes made to compliance and reporting rules. |
Audit trails record every rule change for monitoring and review. |
Reporting & Filing Capabilities
(9 Yes /9 Known /9 Possible features)
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Automated Report Generation Scheduled creation of required regulatory filings. |
Enables automated report creation and distribution on defined schedules for regulatory timelines. | |
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Custom Report Designer Allows creation of bespoke reports in addition to standard templates. |
Custom report building tools are available in product toolkit. | |
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Multi-Format Export Export reports in all required electronic and paper formats (XBRL, XML, CSV, PDF, Excel, etc.). |
FactSet supports exports in XBRL, XML, PDF, Excel, CSV, and other regulatory file standards. | |
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Error and Exception Highlighting Automatically identifies and flags potential errors or omissions in draft reports. |
Error and exception detection is listed as a core feature for enhancing data quality before filing. | |
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Direct e-Filing Integration Connects directly to regulators’ portals/APIs for automated submission. |
Direct connections to regulatory bodies enable e-filing capabilities in supported regions. | |
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Filing Status Tracking Monitors the progress, success, or failure of each report submission. |
Filing status tracking is available through dashboard and notification tools. | |
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Ad Hoc Reporting Enables rapid, one-off report production for non-routine compliance queries. |
Supports creation of ad hoc reports for unique or urgent regulatory requests. | |
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Historical Filing Storage Stores previously submitted reports for comparison and retrieval. |
Stores complete filing history for audit and comparison. | |
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Reporting Frequency Options Supports daily, monthly, quarterly, annual or ad-hoc schedules. |
Enables users to select and schedule reports at varying frequencies (daily to ad hoc). |
Workflow & Process Automation
(7 Yes /7 Known /8 Possible features)
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Role-Based Task Assignment Allocates tasks to individuals or teams based on permissions and expertise. |
Workflow engine supports task assignment by user roles and skills. | |
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Automated Alerts & Reminders Sends notifications for deadlines, approvals, and exception handling. |
Automated notifications remind users of pending deadlines and required actions. | |
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Approval Workflow Customization Configurable multi-level review and sign-off processes. |
Approval workflows are configurable via the admin interface. | |
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Escalation Management Automatically escalates overdue tasks or exceptions to management. |
Escalation of overdue items to supervisors is configurable via workflow rules. | |
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Task Status Dashboard Visualizes progress of all workflow tasks in real-time. |
Task dashboards provide real-time visibility into workflow progress and bottlenecks. | |
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SLA Monitoring Monitors workflow steps against Service Level Agreements. |
No information available | |
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Automated Scheduling Allows pre-scheduling of recurring tasks and report runs. |
Pre-scheduling of recurring workflow tasks and report runs is available per product documentation. | |
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Exception Handling Rules Predefined responses to common exceptions or workflow bottlenecks. |
Exception handling logic can be tailored and is used to manage reporting exceptions efficiently. |
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. |
Role-based access control is a standard feature for financial industry compliance. | |
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Multi-Factor Authentication (MFA) Supports two/multi-factor authentication for user login. |
Supports multi-factor authentication, including SSO and tokenized methods. | |
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Single Sign-On (SSO) Integration Allows users to log in with corporate credentials. |
Integration with SSO using major identity providers (Okta, Azure AD, etc.) is part of enterprise solution. | |
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Audit Logging Tracks all user actions for monitoring and compliance. |
All user actions are logged for compliance and regulatory review. | |
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Encryption at Rest and in Transit Data is encrypted both when stored and when sent between systems. |
FactSet's security documentation specifies encryption at rest and in transit for all regulatory data. | |
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Granular Data Permissions Fine-grained control over which data a user can view or edit. |
Granular permissions settings are supported for user and data segments. | |
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Time-Based Access Control Ability to restrict system access to specific hours or dates. |
No information available |
Audit & Transparency
(3 Yes /3 Known /6 Possible features)
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Full Data Audit Trails Tracks every change to relevant data, reports, and workflows. |
Audit trails track all changes for regulatory and internal review. | |
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Audit Log Export Ability to export audit logs for regulator or auditor review. |
Audit logs are available for export by admins and compliance officers. | |
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Immutable Records Stores all changes in a tamper-evident manner. |
No information available | |
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Report Reconciliation Logs Logs comparisons between system data and filed reports. |
No information available | |
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User Action History View actions performed by each user on specific records or reports. |
User action history is accessible in the audit and compliance interface. | |
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Change Reason Capture Requires users to provide rationale for material changes. |
No information available |
Analytics & Monitoring
(3 Yes /3 Known /6 Possible features)
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Exception Trend Analysis Tracks patterns in reporting errors or regulatory breaches over time. |
No information available | |
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Compliance Dashboard Visual interface summarizing key compliance risks and activities. |
Compliance dashboards are highlighted as key features for risk and compliance monitoring. | |
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Data Quality Metrics Monitors consistency, completeness, and accuracy of reporting data. |
Data quality and completeness are monitored and displayed via analytics modules. | |
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Historical Comparison Reports Allows period-to-period comparison to identify discrepancies or risks. |
Allows for period-to-period and year-over-year comparison reports to identify inconsistencies. | |
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Outlier Detection Automatically flags results that deviate from norms. |
No information available | |
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Workflow Efficiency Metrics Measures task throughput and identifies bottlenecks. |
No information available |
Configurability & Customization
(4 Yes /4 Known /5 Possible features)
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Custom Workflow Builder Design and deploy custom task and approval steps. |
Workflow engine allows clients to design and deploy custom approval routes. | |
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Configurable Data Fields Add, remove, or modify data fields for changing needs. |
Administrators can configure data fields and workflows as requirements change. | |
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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. |
User dashboards and reporting layouts are customizable per user. | |
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Rule Engine for Custom Logic Allows non-technical users to define new rules and triggers. |
Rule engine supports addition of custom logic by non-technical users. |
Integration & API Capabilities
(4 Yes /4 Known /5 Possible features)
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Open REST/SOAP APIs Enables external systems to connect and automate data exchanges. |
Open RESTful APIs for integration with third-party and custom client systems are available. | |
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Pre-Built Integrations Available plugins for common fund management and accounting platforms. |
Pre-built integrations for multiple fund management systems, custodians, and accounting tools. | |
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Webhook/Event Notification Support Outbound triggers for events like report completion or data changes. |
System supports event-based notifications (webhooks) for workflow status and data updates. | |
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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. |
Bulk data upload/download supported for portfolio and regulatory data migration. |
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. |
Scalable architecture for on-demand expansion across 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 technical support is offered as part of enterprise and standard service tiers. | |
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Comprehensive User Documentation Detailed manuals and online help resources. |
Comprehensive user documentation and searchable online help are provided. | |
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Integration Support Services Assistance for connecting the product with other systems. |
Professional services team assists with integrations and onboarding for clients. | |
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Dedicated Account Manager A single point of contact for complex support needs. |
Dedicated account management is standard for institutional clients. | |
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Onboarding & Training Packages Structured user education for rollout and adoption. |
Structured onboarding, training workshops, and online tutorials provided to new clients. | |
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Compliance Alert Service Proactive notifications of regulatory changes impacting reporting. |
Clients are sent timely regulatory change alerts and their relevance to reporting requirements. |
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