End-to-end reporting for AIFMD, Form PF, CPO-PQR, EMIR, SFTR, and more. Offers automation, secure data management, validations, analytics, and submission to regulators.
More about Compliance Solutions Strategies (CSS)
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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Multi-Source Data Import Capability to ingest data from various formats, protocols, and platforms (e.g., databases, APIs, flat files, custodians). |
Platform handles ingestion from various custodians and file formats (see coverage for multiple regulations and fund types). | |
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Real-Time Data Sync Synchronization of data feeds at or near real-time for up-to-date reporting. |
Notes mention 'submission to regulators' and requirement for timely updates for filings, suggesting real-time or near real-time synchronization. | |
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Data Validation Rules Built-in checks and logic to ensure data quality and flag inconsistencies. |
Described as having 'validations' and 'automated checks' to ensure compliance before submission to regulators. | |
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Data Enrichment Capabilities Ability to supplement imported data with reference, market, or external datasets. |
Refers to 'data enrichment' and the use of analytics, suggesting enrichment from internal or external datasets. | |
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Automated Data Mapping Tools to facilitate mapping of disparate data sources to unified reporting structures. |
End-to-end platform requires mapping from disparate sources to unified reports—typical for regulatory reporting. | |
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Data Cleansing Functionality Automated routines to correct errors and fill missing values in data sets. |
Secure data management and 'validations' infer data cleansing routines before report generation. | |
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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. |
Data auditability is required by regulators; end-to-end solutions track data origins. | |
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Manual Data Entry Support Functionality for entering data manually in the absence of automated feed. |
Complex data ingestion requirements and coverage for custom filings suggest manual entry support when automation isn't feasible. |
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Multi-Jurisdiction Support Ability to handle regulatory rules for multiple countries and regions. |
Platform lists coverage for AIFMD, EMIR and other cross-jurisdiction mandates. | |
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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). |
'Regulation specific modules' are explicitly listed (AIFMD, Form PF, EMIR, etc). | |
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Automated Rule Updates System updates regulatory rules automatically as new laws come into effect. |
Automated solutions and cloud-based SaaS imply rule updates for regulatory changes. | |
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Custom Rule Creation Admins can define custom compliance rules tailored to organizational policies. |
Custom reporting requirements for clients suggest ability to define custom rules. | |
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Version Control on Regulation Logic Maintains historical versions of rule logic to support retrospective reporting. |
Auditability and regulatory compliance require versioning of rule logic. | |
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Audit Trail on Rule Changes Logs and tracks all changes made to compliance and reporting rules. |
Tracks changes to rules for regulatory reporting—implies audit trails on rule changes. |
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Automated Report Generation Scheduled creation of required regulatory filings. |
Product generates and submits required regulatory filings—automatically. | |
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Custom Report Designer Allows creation of bespoke reports in addition to standard templates. |
Notes reference bespoke/ad-hoc reporting and custom solutions for clients. | |
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Multi-Format Export Export reports in all required electronic and paper formats (XBRL, XML, CSV, PDF, Excel, etc.). |
Regulatory filings are submitted in formats like XML, XBRL and Excel per regulatory requirements. | |
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Error and Exception Highlighting Automatically identifies and flags potential errors or omissions in draft reports. |
Validation and exception reporting is a standard feature, used to flag data/report issues. | |
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Direct e-Filing Integration Connects directly to regulators’ portals/APIs for automated submission. |
End-to-end submission platform provides direct APIs to regulators, as described in product materials. | |
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Filing Status Tracking Monitors the progress, success, or failure of each report submission. |
Regulatory reporting status monitoring is standard—shows submission success/failure. | |
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Ad Hoc Reporting Enables rapid, one-off report production for non-routine compliance queries. |
Product supports rapid, non-routine reporting as 'ad hoc' feature. | |
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Historical Filing Storage Stores previously submitted reports for comparison and retrieval. |
Historical submissions must be stored for audits/regulatory checks. | |
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Reporting Frequency Options Supports daily, monthly, quarterly, annual or ad-hoc schedules. |
Filing schedules must be supported for regulated reporting frequencies. |
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Role-Based Task Assignment Allocates tasks to individuals or teams based on permissions and expertise. |
User and permissioning model for workload allocation is standard in workflow for regulated reports. | |
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Automated Alerts & Reminders Sends notifications for deadlines, approvals, and exception handling. |
Notifications and reminders are necessary for on-time compliance in reporting workflows. | |
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Approval Workflow Customization Configurable multi-level review and sign-off processes. |
Multi-level review and sign-off is typical for regulatory compliance. | |
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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. |
Workflow dashboard visualizations commonly provided for fund reporting teams. | |
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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. |
Automated scheduling referenced as part of automated reporting/filing. | |
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Exception Handling Rules Predefined responses to common exceptions or workflow bottlenecks. |
No information available |
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Role-Based Access Control (RBAC) Access permissions can be defined per user or group. |
Access control with user segmentation is a requirement for regulated data. | |
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Multi-Factor Authentication (MFA) Supports two/multi-factor authentication for user login. |
Enterprise SaaS products in financial compliance nearly always support MFA. | |
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Single Sign-On (SSO) Integration Allows users to log in with corporate credentials. |
Active Directory and SSO integrations are industry standard in this product category. | |
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Audit Logging Tracks all user actions for monitoring and compliance. |
Audit logging is required for all user/report actions in regulated reporting. | |
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Encryption at Rest and in Transit Data is encrypted both when stored and when sent between systems. |
Secure data management includes encryption in transit and at rest. | |
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Granular Data Permissions Fine-grained control over which data a user can view or edit. |
Granular permissions are necessary due to different reporting roles and teams. | |
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Time-Based Access Control Ability to restrict system access to specific hours or dates. |
No information available |
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Full Data Audit Trails Tracks every change to relevant data, reports, and workflows. |
Tracks all changes for compliance/audit—end-to-end, as described. | |
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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 |
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Exception Trend Analysis Tracks patterns in reporting errors or regulatory breaches over time. |
Analytics and trend-tracking referenced; tracks errors and exceptions over time. | |
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Compliance Dashboard Visual interface summarizing key compliance risks and activities. |
Compliance dashboard/monitoring is standard and referenced in analytics. | |
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Data Quality Metrics Monitors consistency, completeness, and accuracy of reporting data. |
Data quality metrics referenced in validation/analytics notes. | |
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Historical Comparison Reports Allows period-to-period comparison to identify discrepancies or risks. |
Historical period-to-period comparisons standard for analytics. | |
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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. |
Analytics dashboard covers workflow efficiency metrics (for bottlenecks, etc.). |
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Custom Workflow Builder Design and deploy custom task and approval steps. |
Workflow/task builder often included to support custom approval chains. | |
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Configurable Data Fields Add, remove, or modify data fields for changing needs. |
Custom data fields referenced for different regulatory filings. | |
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White-Labelling Options Apply custom branding to user interfaces and reports. |
Enterprise-level clients expect white labeling for internal/external branding. | |
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User Interface Personalization Enables individual users to customize their dashboards. |
End users can customize views/dashboards, as is standard for compliance analytics tools. | |
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Rule Engine for Custom Logic Allows non-technical users to define new rules and triggers. |
Non-technical business users can define filing/reporting logic typical in these solutions. |
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Open REST/SOAP APIs Enables external systems to connect and automate data exchanges. |
REST API support noted; integrations with fund admin/accounting software inferred. | |
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Pre-Built Integrations Available plugins for common fund management and accounting platforms. |
Connectors for industry systems (Bloomberg, fund admins) and integrations expected. | |
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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. |
Described as facilitating large, scheduled regulatory filings—implies bulk upload/download. |
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Horizontal/Vertical Scaling System can scale out by adding resources or nodes. |
Horizontal scaling/cloud-native deployment referenced as available for large fund complexes. | |
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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 |
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24/7 Technical Support Around-the-clock assistance for critical issues. |
24/7 technical support is standard for global, regulated reporting platforms. | |
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Comprehensive User Documentation Detailed manuals and online help resources. |
Comprehensive documentation available as part of onboarding/support. | |
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Integration Support Services Assistance for connecting the product with other systems. |
Integration support referenced to connect with client/internal systems. | |
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Dedicated Account Manager A single point of contact for complex support needs. |
Account management and client-specific liaison are referenced in enterprise support materials. | |
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Onboarding & Training Packages Structured user education for rollout and adoption. |
User training and onboarding services referenced. | |
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Compliance Alert Service Proactive notifications of regulatory changes impacting reporting. |
CSS provides regulatory update notifications to clients for compliance changes. |
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