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Regnology Regulatory Reporting from Regnology
Supports regulatory compliance and reporting processes for a wide range of financial institutions, including brokerage firms. Offers automated data collection, validation, report generation and direct submission for multiple jurisdictions (EMIR, MiFID II, SFTR, MAS, more). End-to-end auditability, dashboards, and data lineage.
Product analysis by function
Regulatory Reporting Solutions for Compliance
Platforms that automate the preparation and submission of required reports to regulatory authorities, ensuring accuracy and timeliness.
More Regulatory Reporting Solutions
More Compliance ...
Automated Data Collection
(8 Yes /8 Known /10 Possible features)
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Multi-source Connectivity Ability to connect and ingest data from various back-office, trading, and accounting systems. |
Product advertises ingestion from various back-office, trading, and accounting systems for multiple jurisdictions. | |
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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. |
Automated validation is described as a core part of the workflow. | |
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Data Normalization Standardize and reconcile differing data formats for consistent processing. |
Supports ingestion and normalization for pan-jurisdictional formats. | |
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Audit Trail for Data Changes Track every data modification for compliance reviews and troubleshooting. |
End-to-end auditability and data lineage explicitly claimed in product marketing. | |
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Bulk Data Import & Export Support for batch processing of large data sets. |
Batch processing capabilities referenced in support for large institutional clients. | |
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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. |
Bank-level encryption in transit and at rest mentioned on Regnology security pages. | |
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Historical Data Access Capability to retrieve and report on previous periods’ data for amendments or resubmissions. |
Historical reporting and audit features are listed. | |
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Automated Data Error Alerts Triggers notifications to appropriate personnel upon data discrepancies. |
Automated error detection and alerting included in product documentation. |
Report Generation & Customization
(6 Yes /6 Known /10 Possible features)
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Pre-configured Report Templates Availability of standard templates catering to key regulatory regimes (e.g., SEC, FINRA, ESMA, MiFID II). |
Pre-configured templates for multiple regimes (EMIR, MiFID II, SFTR, MAS) mentioned. | |
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Custom Report Builder Tools for users to create and save custom report layouts. |
Custom report builder functionality described on product site. | |
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Multi-lingual and Multi-jurisdictional Support Create reports that comply with different regions’ language and format requirements. |
Supports multi-jurisdiction and multi-language reporting. | |
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Template Version Control Track edits to report templates and maintain version histories. |
No information available | |
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Flexible Output Formats Generate reports in common formats (PDF, XLSX, XML, XBRL, CSV, etc.). |
Export in multiple formats (PDF, Excel, XML, XBRL, etc.) is referenced. | |
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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. |
Scheduled and automated report generation part of solution automation capabilities. | |
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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. |
Ad-hoc reporting capabilities for regulatory intelligence indicated. |
Automated Submission & Filing
(10 Yes /10 Known /10 Possible features)
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Direct Electronic Filing Integration Submit reports directly to regulators (e.g. FINRA Gateway, EMIR, SEC EDGAR) via secure APIs. |
Direct electronic submissions to regulators (e.g., EMIR, MAS) listed as standard. | |
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Submission Scheduling Automated workflows to submit reports by due dates, with configurable timing. |
Workflow configurations for submissions to fit filing calendars. | |
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Submission Status Tracking Automatically track acknowledgment, rejection, and feedback from regulators. |
Acknowledgements, rejections and feedback automation referenced. | |
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Multi-channel Filing Support Capability to file via APIs, SFTP, web uploads, or email. |
Supports API, SFTP, and web upload submission channels. | |
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Resubmission Handling Automated management for rejected or corrected files. |
Handles resubmissions/exception management for failed files. | |
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Submission Confirmation Receipts Automated storing and alerting for successful receipts from regulators. |
Receipts of successful regulatory submissions referenced for audit. | |
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Automatic Time Zone Adjustment Ensure timing compliance across global regulatory deadlines. |
Explicit global timezone handling for regulatory deadlines addressed. | |
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Batch Filing Send multiple reports in a single operation. |
Batch reporting and batch submission supported per product datasheet. | |
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Submission Audit Log Maintain a history of all filings and statuses. |
Filing and submission audit logs part of auditable workflow. | |
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Submission Encryption and Security Protect reports during filing via encryption and secure transport. |
Transmission encryption and regulatory security compliance described. |
Compliance Rule Management
(8 Yes /8 Known /10 Possible features)
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Dynamic Rule Engine Configurable logic engine for defining current and evolving compliance requirements. |
Configurable rule engine to meet evolving regulations in multiple jurisdictions. | |
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Regulatory Update Feeds Automatic import of new rules or changes from authoritative sources. |
Automated updates from regulatory authorities referenced for supported regimes. | |
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Gap Analysis Tools Identify where processes or data fail to meet regulatory standards. |
Gap analysis and completeness checks included as solution value proposition. | |
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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 management features for out-of-tolerance events described in the product. | |
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Customizable Rule Parameters Users can adjust thresholds, triggers, or definitions as rules change. |
Customizable logic for reporting thresholds/configuration listed. | |
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Rule Version Control Maintains historical views on rule changes and their effective dates. |
Rule history/audit described as part of full auditability. | |
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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. |
Regulatory change tracking and client alerting referenced in support documentation. | |
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Multi-regime Support Manage and apply rules from different regulatory bodies simultaneously. |
Supports multiple regulatory bodies across international regions. |
User Access & Workflow Control
(3 Yes /3 Known /10 Possible features)
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Role-based Access Control Define granular permissions for viewing, editing, and submitting reports. |
Role-based permissions referenced under user and workflow management. | |
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Multi-level Approval Workflows Design workflows with several review or sign-off stages for quality assurance. |
Approval chains and multi-level sign-off described for audits and regulatory submissions. | |
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User Action Audit Trails Record all actions taken on reports and the responsible users. |
User action and control logs referenced as part of auditability. | |
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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. |
No information available | |
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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 |
Validation, Verification, and Reconciliation
(8 Yes /8 Known /10 Possible features)
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Automated Data Reconciliation Compare reported values to primary records for completeness and correctness. |
Data reconciliation, completeness and correctness checks as a core service. | |
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Multi-level Data Validation Checks Run configurable validation layers prior to submission. |
Validation and multi-layer error checking referenced. | |
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Anomaly Detection Identify data outliers that might signal errors or fraudulent activity. |
Anomaly and outlier detection documented as part of validation and risk mitigation. | |
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Reconciliation Reporting Generate summary and detailed reports of reconciliation status. |
Detailed and summary reconciliation reporting described. | |
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Variance Threshold Configuration Set tolerances for acceptable deviations in reported figures. |
Configurable tolerance settings for reporting errors in compliance workflow. | |
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Reconciliation Exception Handling Automatically flag and record unresolved discrepancies. |
Exception handling and flagging unresolved issues described. | |
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Historical Comparison Tools Detect substantial shifts in reported figures compared to previous periods. |
Historical comparisons available for trend/audit analysis. | |
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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. |
Parallel/automated reconciliation for large volume is referenced in high-throughput scenarios. |
Audit, Logging & Traceability
(1 Yes /1 Known /10 Possible features)
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Comprehensive Audit Trails Log all user actions, data changes, system events, and submissions. |
Audit trail for user, data and workflow changes described as end-to-end. | |
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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 |
Security & Data Privacy
(3 Yes /3 Known /10 Possible features)
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End-to-end Data Encryption Encrypt data both at rest and during transmission. |
End-to-end data encryption claimed for both data at rest and in transit. | |
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Multi-factor Authentication (MFA) Require multiple identity verifications for high-risk actions. |
No information available | |
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Granular Permission Controls Limit visibility and editability of reports, fields, and workflows. |
Permission controls and user management part of workflow and audit features. | |
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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. |
No information available | |
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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. |
Global privacy (GDPR/CCPA) alignment referenced in compliance regimes. | |
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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 |
Scalability, Performance & Availability
(5 Yes /5 Known /10 Possible features)
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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. |
Solution highlights high-availability and disaster recovery support for regulatory environments. | |
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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 for performance and failover cited for large clients. | |
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Elastic Resource Scaling Dynamically add or remove computation/storage capacity as usage demands. |
Elastic scaling for reporting cycles and heavy regulatory periods mentioned. | |
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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 Large volume support is referenced for multinational financial groups. |
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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. |
Supports multi-tenancy and client isolation for major clients per solution overview. |
Integration & Interoperability
(8 Yes /8 Known /10 Possible features)
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Open API Availability Publicly documented APIs for extensible integrations. |
Documented public and partner API availability for extensibility. | |
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Standard Data Format Support Import/export in regulatory or industry standards (FIX, ISO 20022, XBRL, CSV, etc.). |
Standard regulatory formats for ingestion/export endorsed including ISO, 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. |
Pre-built integrations for major financial platforms (and regulators) are listed. | |
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Legacy System Compatibility Data and process integration with older or on-premise systems. |
Legacy/back-office system compatibility mentioned for transitions and integrations. | |
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API Security (e.g. OAuth2, mTLS) Adherence to industry-standard secure authentication and encryption in API calls. |
API security is cited as following industry best practice (OAuth2, mTLS, etc.) on integration documentation. | |
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File Transfer Protocol Support SFTP, FTPS, and similar protocols for batch data movement. |
Supports SFTP, FTPS and related secure file transfer protocols. | |
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Data Mapping Tools Graphical UIs or scriptable tools for mapping and transforming data fields. |
Data mapping and transformation tools listed as available in implementation documentation. | |
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Extensible Web Services SOAP/RESTful web services for custom integrations. |
Extensible web service support for integration cited (REST, SOAP). |
Usability, Support & Maintainability
(9 Yes /9 Known /10 Possible features)
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Intuitive User Interface Accessible, clearly organized screens and workflows. |
Modern, role-based dashboard UIs highlighted throughout solution galleries. | |
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Contextual Help and Guides Embedded instructions, tool-tips, and support for business processes. |
In-product guides, helpful documentation and tool-tips referenced for usability. | |
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Self-service Administration Non-technical users can configure key solution features without vendor support. |
Administration and configuration for non-technical users supported. | |
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Automated Software Updates Receive and apply new releases with minimal manual intervention. |
Automated updates for regulatory rules and system enhancements referenced. | |
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24/7 Vendor Support Access to technical and regulatory experts at any time. |
Enterprise-grade, always-on support described in vendor sales/marcom. | |
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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. |
Customizable dashboards for KPIs/exceptions/monitoring shown in product screenshots. | |
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Training & Onboarding Programs Comprehensive learning resources and workshops for new users. |
Comprehensive onboarding and continuous training for clients noted prominently. | |
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Performance Monitoring Tools Dashboards for technical health and issue detection. |
Monitoring and health check dashboards referenced in product features. | |
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Multi-device Access Full functionality on desktop, tablet, and mobile devices. |
Desktop, tablet, and mobile support described for remote/field operability. |
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