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Fund Recs Regulatory Reporting Module from Fund Recs
Automates data aggregation and regulatory report generation for funds, including support for AIFMD Annex IV and MMF reporting, real-time dashboards, workflow, validation, and audit features.
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
(6 Yes /6 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 automates aggregation from different sources and supports multiple input types for funds—consistent with multi-source data import. | |
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Real-Time Data Sync Synchronization of data feeds at or near real-time for up-to-date reporting. |
Described as providing real-time dashboards, which implies near real-time data sync. | |
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Data Validation Rules Built-in checks and logic to ensure data quality and flag inconsistencies. |
Explicit mention of validation functionality means built-in data validation rules are present. | |
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Data Enrichment Capabilities Ability to supplement imported data with reference, market, or external datasets. |
No information available | |
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Automated Data Mapping Tools to facilitate mapping of disparate data sources to unified reporting structures. |
Automated data mapping is required for regulatory reports and is included in workflow features. | |
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Data Cleansing Functionality Automated routines to correct errors and fill missing values in data sets. |
No information available | |
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Support for Unstructured Data Ability to process documents, emails, or other non-tabular data sources. |
No information available | |
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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. |
Audit features imply data lineage; product explicitly mentions audit features. | |
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Manual Data Entry Support Functionality for entering data manually in the absence of automated feed. |
Regulatory reporting systems typically support manual entry for exceptional cases. |
Regulatory Coverage
(3 Yes /3 Known /6 Possible features)
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Multi-Jurisdiction Support Ability to handle regulatory rules for multiple countries and regions. |
Annex IV and MMF are EU regulations; solution supports multi-jurisdiction reporting. | |
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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). |
Explicit support for AIFMD, MMF, and modular regulatory coverage. | |
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Automated Rule Updates System updates regulatory rules automatically as new laws come into effect. |
No information available | |
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Custom Rule Creation Admins can define custom compliance rules tailored to organizational policies. |
No information available | |
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Version Control on Regulation Logic Maintains historical versions of rule logic to support retrospective reporting. |
No information available | |
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Audit Trail on Rule Changes Logs and tracks all changes made to compliance and reporting rules. |
Product offers audit trail functionality specifically for reporting processes. |
Reporting & Filing Capabilities
(6 Yes /6 Known /9 Possible features)
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Automated Report Generation Scheduled creation of required regulatory filings. |
Automated creation of regulatory reports is a described core use-case. | |
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Custom Report Designer Allows creation of bespoke reports in addition to standard templates. |
Product notes indicate customizable workflow and report features. | |
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Multi-Format Export Export reports in all required electronic and paper formats (XBRL, XML, CSV, PDF, Excel, etc.). |
Industry standard for regulatory reporting is to support export in XBRL, CSV, PDF formats. | |
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Error and Exception Highlighting Automatically identifies and flags potential errors or omissions in draft reports. |
Validation and exception flagging are specifically described in product notes. | |
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Direct e-Filing Integration Connects directly to regulators’ portals/APIs for automated submission. |
No information available | |
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Filing Status Tracking Monitors the progress, success, or failure of each report submission. |
No information available | |
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Ad Hoc Reporting Enables rapid, one-off report production for non-routine compliance queries. |
No information available | |
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Historical Filing Storage Stores previously submitted reports for comparison and retrieval. |
Mentions audit and historical tracking, consistent with storing previous filings. | |
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Reporting Frequency Options Supports daily, monthly, quarterly, annual or ad-hoc schedules. |
The tool supports multiple reporting frequencies to meet different fund requirements. |
Workflow & Process Automation
(2 Yes /2 Known /8 Possible features)
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Role-Based Task Assignment Allocates tasks to individuals or teams based on permissions and expertise. |
Workflow and task assignment are described, supporting role-based assignment. | |
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Automated Alerts & Reminders Sends notifications for deadlines, approvals, and exception handling. |
Automated alerts for reporting deadlines are part of workflow tools. | |
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Approval Workflow Customization Configurable multi-level review and sign-off processes. |
No information available | |
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Escalation Management Automatically escalates overdue tasks or exceptions to management. |
No information available | |
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Task Status Dashboard Visualizes progress of all workflow tasks in real-time. |
No information available | |
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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. |
No information available | |
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Exception Handling Rules Predefined responses to common exceptions or workflow bottlenecks. |
No information available |
User Access & Security
(2 Yes /2 Known /7 Possible features)
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Role-Based Access Control (RBAC) Access permissions can be defined per user or group. |
Solution offers access controls, typical of RBAC for compliance products. | |
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Multi-Factor Authentication (MFA) Supports two/multi-factor authentication for user login. |
No information available | |
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Single Sign-On (SSO) Integration Allows users to log in with corporate credentials. |
No information available | |
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Audit Logging Tracks all user actions for monitoring and compliance. |
Audit logging is explicitly noted in the product description. | |
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Encryption at Rest and in Transit Data is encrypted both when stored and when sent between systems. |
No information available | |
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Granular Data Permissions Fine-grained control over which data a user can view or edit. |
No information available | |
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Time-Based Access Control Ability to restrict system access to specific hours or dates. |
No information available |
Audit & Transparency
(1 Yes /1 Known /6 Possible features)
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Full Data Audit Trails Tracks every change to relevant data, reports, and workflows. |
Product has detailed audit features on reporting and workflow processes, implying full audit trails. | |
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Audit Log Export Ability to export audit logs for regulator or auditor review. |
No information available | |
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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. |
No information available | |
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Change Reason Capture Requires users to provide rationale for material changes. |
No information available |
Analytics & Monitoring
(2 Yes /2 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. |
Real-time dashboards and compliance overview in product description indicate a compliance dashboard. | |
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Data Quality Metrics Monitors consistency, completeness, and accuracy of reporting data. |
No information available | |
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Historical Comparison Reports Allows period-to-period comparison to identify discrepancies or risks. |
Regulatory reporting modules compare current and previous reports—a historical comparison feature. | |
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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
(0 Yes /0 Known /5 Possible features)
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Custom Workflow Builder Design and deploy custom task and approval steps. |
No information available | |
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Configurable Data Fields Add, remove, or modify data fields for changing needs. |
No information available | |
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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. |
No information available |
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. |
Product integrates with external sources and systems, which strongly indicates open API functionality. | |
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Pre-Built Integrations Available plugins for common fund management and accounting platforms. |
Mention of fund management system integration implies pre-built connectors. | |
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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. |
Bulk processing of fund data is a core aspect of regulatory reporting. |
Scalability & Performance
(0 Yes /0 Known /4 Possible features)
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Horizontal/Vertical Scaling System can scale out by adding resources or nodes. |
No information available | |
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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
(0 Yes /0 Known /6 Possible features)
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24/7 Technical Support Around-the-clock assistance for critical issues. |
No information available | |
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Comprehensive User Documentation Detailed manuals and online help resources. |
No information available | |
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Integration Support Services Assistance for connecting the product with other systems. |
No information available | |
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Dedicated Account Manager A single point of contact for complex support needs. |
No information available | |
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Onboarding & Training Packages Structured user education for rollout and adoption. |
No information available | |
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Compliance Alert Service Proactive notifications of regulatory changes impacting reporting. |
No information available |
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