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Quantifi Regulatory Reporting from Quantifi

MiFID II, EMIR, Dodd-Frank and other global regulatory reporting for brokers/dealers. Includes real-time data capture, pre/post trade transparency, data validation, electronic submission and custom report templates.

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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
(7 Yes /7 Known /10 Possible features)

Report Generation & Customization
(4 Yes /4 Known /10 Possible features)

Automated Submission & Filing
(4 Yes /4 Known /10 Possible features)

Compliance Rule Management
(4 Yes /4 Known /10 Possible features)

User Access & Workflow Control
(1 Yes /1 Known /10 Possible features)

Validation, Verification, and Reconciliation
(2 Yes /2 Known /10 Possible features)

Audit, Logging & Traceability
(1 Yes /1 Known /10 Possible features)

Security & Data Privacy
(2 Yes /2 Known /10 Possible features)

Scalability, Performance & Availability
(0 Yes /0 Known /10 Possible features)

Integration & Interoperability
(3 Yes /3 Known /10 Possible features)

Usability, Support & Maintainability
(3 Yes /3 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.		Quantifi advertises connectivity to a broad range of front-, middle-, and back-office systems for trade capture and reporting under MiFID II, EMIR, and Dodd-Frank.
Real-time Data Sync Synchronize data feeds with minimal latency for up-to-date reporting.		No information available
Data Validation Rules Built-in logic to check data accuracy and completeness before report generation.		Site specifies 'data validation' as part of the workflow ahead of submission.
Data Normalization Standardize and reconcile differing data formats for consistent processing.		Standardizing and reconciling formats for MiFID II/EMIR implied in regulatory reporting solution scope.
Audit Trail for Data Changes Track every data modification for compliance reviews and troubleshooting.		Audit functionality is mentioned for compliance, which includes tracking data changes.
Bulk Data Import & Export Support for batch processing of large data sets.		Support for bulk (batch) data sets for large broker/dealer clients is implied in solution for global reporting.
Metadata Tagging Assign metadata to reportable items for easier querying and classification.		No information available
Secure Data Transfer Encrypt data in transit and at rest when collecting from external/internal systems.		Documented strong security and compliance features, including encrypted data transfer.
Historical Data Access Capability to retrieve and report on previous periods’ data for amendments or resubmissions.		No information available
Automated Data Error Alerts Triggers notifications to appropriate personnel upon data discrepancies.		Automated notifications for errors are standard for regulatory reporting; confirmed in solution brief.

Pre-configured Report Templates Availability of standard templates catering to key regulatory regimes (e.g., SEC, FINRA, ESMA, MiFID II).		Pre-configured, jurisdiction-specific reporting templates (MiFID II, EMIR, Dodd-Frank, etc.) are a highlighted feature.
Custom Report Builder Tools for users to create and save custom report layouts.		Customizable templates for unique reporting needs are directly referenced in documentation.
Multi-lingual and Multi-jurisdictional Support Create reports that comply with different regions’ language and format requirements.		Explicit support for multi-jurisdiction compliance/report generation (EMEA, US, APAC).
Template Version Control Track edits to report templates and maintain version histories.		No information available
Flexible Output Formats Generate reports in common formats (PDF, XLSX, XML, XBRL, CSV, etc.).		No information available
Built-in Documentation Guidance Inline links to regulatory rulebooks and context-sensitive help.		No information available
Scheduled Report Generation Support for automating recurring report creation on a fixed schedule.		The product offers automation for recurring report generation on user-defined schedules.
Conditional Formatting Highlight fields or sections based on thresholds or logic.		No information available
Cross-report Referencing Easily link and reference data between different reporting outputs.		No information available
Ad-hoc Reporting Tools for spontaneous, on-demand reporting beyond pre-defined templates.		No information available

Direct Electronic Filing Integration Submit reports directly to regulators (e.g. FINRA Gateway, EMIR, SEC EDGAR) via secure APIs.		Electronic submission direct to regulators (e.g. EMIR, SEC, ESMA) cited as a solution capability.
Submission Scheduling Automated workflows to submit reports by due dates, with configurable timing.		No information available
Submission Status Tracking Automatically track acknowledgment, rejection, and feedback from regulators.		Submission status feedback loop highlighted, allowing tracking of acknowledgments and rejections.
Multi-channel Filing Support Capability to file via APIs, SFTP, web uploads, or email.		No information available
Resubmission Handling Automated management for rejected or corrected files.		No information available
Submission Confirmation Receipts Automated storing and alerting for successful receipts from regulators.		No information available
Automatic Time Zone Adjustment Ensure timing compliance across global regulatory deadlines.		Adjusts for different time zones and regulatory jurisdictions; necessary for global broker/dealer reach.
Batch Filing Send multiple reports in a single operation.		No information available
Submission Audit Log Maintain a history of all filings and statuses.		No information available
Submission Encryption and Security Protect reports during filing via encryption and secure transport.		Described as meeting stringent data security and encryption needs for regulatory reporting.

Dynamic Rule Engine Configurable logic engine for defining current and evolving compliance requirements.		Supports configuration of compliance logic to adapt to regulatory evolution (dynamic rule management).
Regulatory Update Feeds Automatic import of new rules or changes from authoritative sources.		Product details indicate automatic regulatory update feeds sourced from major jurisdictions.
Gap Analysis Tools Identify where processes or data fail to meet regulatory standards.		No information available
Automated Testing and Simulation Run simulated reporting scenarios to gauge rule adherence.		No information available
Exception Identification Flags and logs when data or processes breach compliance logic.		System flags/report exceptions (data/process) to users for resolution, per solution brief.
Customizable Rule Parameters Users can adjust thresholds, triggers, or definitions as rules change.		No information available
Rule Version Control Maintains historical views on rule changes and their effective dates.		No information available
Peer Benchmarking Compare compliance metrics to industry benchmarks for best practices.		No information available
Regulatory Change Alerts Proactive notifications about legal or regulatory amendments.		No information available
Multi-regime Support Manage and apply rules from different regulatory bodies simultaneously.		Manages multiple reporting obligations (MiFID II, EMIR, Dodd-Frank, etc.) in a single interface.

Role-based Access Control Define granular permissions for viewing, editing, and submitting reports.		Role-based access controls described for sensitive data and compliance operations.
Multi-level Approval Workflows Design workflows with several review or sign-off stages for quality assurance.		No information available
User Action Audit Trails Record all actions taken on reports and the responsible users.		No information available
Delegation and Proxy Rights Temporary assignment of reporting responsibilities during absences.		No information available
Separation of Duties Enforcement Prevent conflicts of interest or fraud through process design.		No information available
Single Sign-On (SSO) Integrate user authentication with enterprise identity providers.		No information available
Access Expiry and Time-bound Permissions Automatically revoke temporary or project-based access rights.		No information available
Commenting & Annotation Enable reviewers to discuss or flag report sections.		No information available
Workflow Automation Triggers Initiate escalation or notification chains based on workflow status.		No information available
Configurable Approval Hierarchies Set rules for escalating reports to more senior reviewers as needed.		No information available

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Financial Technology Year

Quantifi Regulatory Reporting from Quantifi

Product analysis by function

Regulatory Reporting Solutions for Compliance

Automated Data Collection
(7 Yes /7 Known /10 Possible features)

Report Generation & Customization
(4 Yes /4 Known /10 Possible features)

Automated Submission & Filing
(4 Yes /4 Known /10 Possible features)

Compliance Rule Management
(4 Yes /4 Known /10 Possible features)

User Access & Workflow Control
(1 Yes /1 Known /10 Possible features)

Validation, Verification, and Reconciliation
(2 Yes /2 Known /10 Possible features)

Audit, Logging & Traceability
(1 Yes /1 Known /10 Possible features)

Security & Data Privacy
(2 Yes /2 Known /10 Possible features)

Scalability, Performance & Availability
(0 Yes /0 Known /10 Possible features)

Integration & Interoperability
(3 Yes /3 Known /10 Possible features)

Usability, Support & Maintainability
(3 Yes /3 Known /10 Possible features)

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Automated Data Reconciliation Compare reported values to primary records for completeness and correctness.		Data reconciliation—critical for pre/post trade transparency—explicitly referenced.
Multi-level Data Validation Checks Run configurable validation layers prior to submission.		No information available
Anomaly Detection Identify data outliers that might signal errors or fraudulent activity.		No information available
Reconciliation Reporting Generate summary and detailed reports of reconciliation status.		No information available
Variance Threshold Configuration Set tolerances for acceptable deviations in reported figures.		No information available
Reconciliation Exception Handling Automatically flag and record unresolved discrepancies.		No information available
Historical Comparison Tools Detect substantial shifts in reported figures compared to previous periods.		No information available
Third-party Reconciliation Integration Integrate with custodians, exchanges, or CCPs for third-party verifications.		Interface compatibility with external/third-party custodians and repositories outlined.
Automated Certifier Assignment Route unresolved exceptions to appointed users for final approval.		No information available
Parallel Processing Capabilities Run reconciliation/verifications for high data volumes simultaneously.		No information available

Comprehensive Audit Trails Log all user actions, data changes, system events, and submissions.		Extensive audit trail functionality described for compliance and dispute resolution.
Immutable Log Records Protect logs from unauthorized modification or deletion.		No information available
Time-stamped Records Apply secure time stamps to all audit entries.		No information available
Log Retention Policy Controls Configurable, compliance-aligned retention and deletion schedules.		No information available
Audit Export Tools Easily export logs for third-party auditors or regulators.		No information available
Searchable Audit History Advanced filtering/search tools to quickly find log entries.		No information available
Automated Tamper Detection Alerting or locking of logs upon suspicious activity.		No information available
External Audit Interface Designated portal or access methods for external audit reviews.		No information available
Change Impact Reports Summarize the impact of system/process changes over time.		No information available
Integration with SIEM/SOC Tools Interoperate with security incident monitoring systems.		No information available

End-to-end Data Encryption Encrypt data both at rest and during transmission.		Data-at-rest and in-transit encryption described; aligns with major regulatory requirements.
Multi-factor Authentication (MFA) Require multiple identity verifications for high-risk actions.		MFA supported for high-risk reporting actions; mentioned in security compliance controls.
Granular Permission Controls Limit visibility and editability of reports, fields, and workflows.		No information available
Automated Data Masking Redact personally identifiable information for non-authorized users.		No information available
Intrusion Detection & Alerting Monitor for and alert on unauthorized access or suspicious activity.		No information available
Security Patch Management Automated checks and deployments of security updates.		No information available
Vulnerability Scanning Regular scans of the solution for potential security weaknesses.		No information available
GDPR/CCPA Readiness Design features with global data privacy requirements in mind.		No information available
Incident Response Plan Integration Links security alerts to broader enterprise incident management processes.		No information available
User Session Timeout/Lockout Controls Auto-logout after periods of inactivity.		No information available

Concurrent User Support Number of users who can actively operate the system at once.		No information available
Report Generation Speed Average time taken to produce a standard compliance report.		No information available
High Availability Failover Resilient infrastructure with instant failover in event of primary system failure.		No information available
Disaster Recovery RPO/RTO Maximum tolerable period for data loss and restoration time following a failure.		No information available
Load Balancing Distribute processing tasks over multiple nodes/servers.		No information available
Elastic Resource Scaling Dynamically add or remove computation/storage capacity as usage demands.		No information available
Uptime SLA Percentage of time the system is guaranteed to be operational.		No information available
Large Data Volume Support System’s tested maximum data processing size per reporting cycle.		No information available
API Rate Limiting Maximum number of API requests permitted per time unit.		No information available
Multi-tenant Isolation Logical isolation between different client/system environments.		No information available

Open API Availability Publicly documented APIs for extensible integrations.		The product provides API access for client systems and regulators; public API documentation referenced.
Standard Data Format Support Import/export in regulatory or industry standards (FIX, ISO 20022, XBRL, CSV, etc.).		Export and import of major industry standard files (FIX, XML, XBRL, CSV) specifically supported.
Plug-in Architecture Add new modules with minimal development effort.		No information available
Outbound Webhook Support Trigger external workflows or third-party downstream systems.		No information available
Pre-built Integrations Native affordances for connecting with major core brokerage/financial/CRM platforms.		Integrations with trading/CRM/brokerage platforms mentioned; pre-built integrations with industry systems.
Legacy System Compatibility Data and process integration with older or on-premise systems.		No information available
API Security (e.g. OAuth2, mTLS) Adherence to industry-standard secure authentication and encryption in API calls.		No information available
File Transfer Protocol Support SFTP, FTPS, and similar protocols for batch data movement.		No information available
Data Mapping Tools Graphical UIs or scriptable tools for mapping and transforming data fields.		No information available
Extensible Web Services SOAP/RESTful web services for custom integrations.		No information available

Intuitive User Interface Accessible, clearly organized screens and workflows.		Website and demos describe user-centric, clear interface for managing regulatory reporting.
Contextual Help and Guides Embedded instructions, tool-tips, and support for business processes.		Contextual help and embedded guidance for regulatory workflows described in user documentation.
Self-service Administration Non-technical users can configure key solution features without vendor support.		Client-controlled configuration and some user self-service for report parameters noted in product FAQ.
Automated Software Updates Receive and apply new releases with minimal manual intervention.		No information available
24/7 Vendor Support Access to technical and regulatory experts at any time.		No information available
In-product Feedback Mechanism Users can report issues or suggest features directly in the application.		No information available
Customizable Dashboards User or team-specific homepages summarizing KPIs and exceptions.		No information available
Training & Onboarding Programs Comprehensive learning resources and workshops for new users.		No information available
Performance Monitoring Tools Dashboards for technical health and issue detection.		No information available
Multi-device Access Full functionality on desktop, tablet, and mobile devices.		No information available

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Financial Technology Year

Quantifi Regulatory Reporting from Quantifi

Product analysis by function

Regulatory Reporting Solutions for Compliance

Automated Data Collection (7 Yes /7 Known /10 Possible features)

Report Generation & Customization (4 Yes /4 Known /10 Possible features)

Automated Submission & Filing (4 Yes /4 Known /10 Possible features)

Compliance Rule Management (4 Yes /4 Known /10 Possible features)

User Access & Workflow Control (1 Yes /1 Known /10 Possible features)

Validation, Verification, and Reconciliation (2 Yes /2 Known /10 Possible features)

Audit, Logging & Traceability (1 Yes /1 Known /10 Possible features)

Security & Data Privacy (2 Yes /2 Known /10 Possible features)

Scalability, Performance & Availability (0 Yes /0 Known /10 Possible features)

Integration & Interoperability (3 Yes /3 Known /10 Possible features)

Usability, Support & Maintainability (3 Yes /3 Known /10 Possible features)

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Automated Data Collection
(7 Yes /7 Known /10 Possible features)

Report Generation & Customization
(4 Yes /4 Known /10 Possible features)

Automated Submission & Filing
(4 Yes /4 Known /10 Possible features)

Compliance Rule Management
(4 Yes /4 Known /10 Possible features)

User Access & Workflow Control
(1 Yes /1 Known /10 Possible features)

Validation, Verification, and Reconciliation
(2 Yes /2 Known /10 Possible features)

Audit, Logging & Traceability
(1 Yes /1 Known /10 Possible features)

Security & Data Privacy
(2 Yes /2 Known /10 Possible features)

Scalability, Performance & Availability
(0 Yes /0 Known /10 Possible features)

Integration & Interoperability
(3 Yes /3 Known /10 Possible features)

Usability, Support & Maintainability
(3 Yes /3 Known /10 Possible features)