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A data-driven platform for regulatory reporting and risk management. Offers investment banking solutions for regulatory compliance, including capital adequacy reporting, liquidity risk management, and transaction reporting with comprehensive data lineage capabilities.
Systems that support issuance, trading, and management of capital market instruments such as stocks, bonds, and derivatives.
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Multi-Asset Support Ability to handle equities, fixed income, derivatives, FX, and other instruments. |
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Order Routing Configurable order routing to global markets and venues. |
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High Throughput Number of orders processed per second. |
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Low Latency Execution Average time from order entry to execution. |
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Pre-Trade Risk Checks Real-time pre-trade compliance and risk checks. |
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Algorithmic Trading Support for execution algorithms (VWAP, TWAP, POV, etc). |
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Direct Market Access (DMA) Direct connectivity to market venues without intermediaries. |
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Smart Order Routing Automation to optimize execution across multiple venues. |
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Order Lifecycle Management Tracking and management of order status from initiation to settlement. |
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Trade Enrichment Augmenting trades with additional reference data or client attributes. |
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FIX Protocol Support Seamless integration with counterparties and venues via the FIX protocol. |
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Error Handling Robust mechanisms for error detection, reporting, and resolution. |
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Block Trading Handling of large block orders and negotiation workflows. |
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Order Staging Staging area for compliance and operational checks before release. |
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Real-Time Risk Calculation Horizontal and vertical risk metrics updated live. |
The platform advertises real-time computation of risk metrics including liquidity and capital adequacy as core functionality. | |
Credit Limit Monitoring Automated monitoring and control over trading limits. |
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Market Abuse Detection Surveillance for insider trading, spoofing, and other abuses. |
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Regulatory Reporting Support for MiFID II, Dodd-Frank, EMIR, and other jurisdictional reporting. |
ControllerView is widely cited as supporting regulatory reporting (e.g., MiFID II, Dodd-Frank, EMIR, CRR/CRD, Basel III), which aligns directly with this feature. | |
Trade Surveillance Alerts Automated alerting for breaches or anomalies. |
ControllerView includes rule-based alerting/notification features for exception and breach management. | |
Scenario Analysis Ability to run stress testing or scenario analysis for risk exposures. |
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Pre-Trade Compliance Checks Prevent trades that would violate regulatory or client compliance rules. |
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Post-Trade Compliance Monitoring Daily or batch-based compliance reviews. |
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Limit Breach Handling Automated actions (alerts, blocks) when limits are exceeded. |
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Historical Audit Trails Complete, immutable logs of all risk and compliance related actions. |
Product documentation and market reputation highlight comprehensive, immutable audit trails supporting regulatory needs and internal controls. | |
Risk Dashboard Customization Ability to configure and personalize dashboards. |
The user interface is described as customizable, specifically for monitoring, dashboard, and reporting layouts – supporting risk dashboard personalization. | |
Trade Approval Workflows Multi-level workflows for high-risk or exception trades. |
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Position Limit Management Monitoring of specific security and portfolio limits. |
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Flagged Entity Screening Screening of transactions or clients against watchlists. |
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Exchange Connectivity Direct or via service providers to multiple market venues globally. |
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Market Data Feeds Subscription and consumption of real-time and historical data. |
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Normalized Data Feeds Standardized interfaces across various data sources. |
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Latency Monitoring Measuring and optimizing data transfer speeds. |
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Data Feed Redundancy Failover mechanisms for critical data sources. |
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Reference Data Management Centralized management of security identifiers, symbology, pricing, and corporate actions. |
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API Integration Comprehensive APIs for inbound and outbound data. |
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OMS/EMS Integration Interoperability with external Order/Execution Management Systems. |
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Cross-Venue Aggregation Aggregated view of orders, quotes, and trades across venues. |
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Connection Bandwidth Maximum data throughput supported. |
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Data Latency Time taken for market data to reach the client. |
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Multi-Timezone Support Ability to operate seamlessly in multiple regional time zones. |
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Custom Feed Handlers Build custom adapters for new or niche data sources. |
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Data Usage Monitoring Track data consumption for cost or regulatory reasons. |
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Trade Confirmation Electronic delivery and affirmation of trade details with counterparties. |
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Clearing Connectivity Integration with central counterparties and clearinghouses. |
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Automated Settlement Instruction Generation and delivery of SWIFT and other settlement messages. |
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Settlement Cycle Support Supports multiple settlement cycles (T+0, T+1, T+2, etc.). |
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Fail Trade Handling Processes for managing failed or unmatched trades. |
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Reconciliation Tools Automated trade and position reconciliation across systems. |
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Trade Matching Rates Percentage of trades automatically matched and settled. |
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Physical and Book Entry Settlement Support for both physical and electronic settlement types. |
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Corporate Actions Processing Automated handling of dividends, splits, etc. |
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Custodian Integration Straight-through processing with custodian banks. |
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Settlement Exception Management Exception tracking, workflow, and resolution tracking. |
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Regulatory Settlement Reporting Automated compliance with settlement reporting standards. |
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Settlement Volume Capacity Maximum number of trades settled per day. |
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Fee and Tax Calculation Automated calculation and reporting of settlement fees and taxes. |
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Real-Time Analytics On-the-fly analysis of trades, positions, and risk. |
Real-time analytics for both regulatory and risk-based scenarios (capital, liquidity) are a prominent capability in product literature. | |
Custom Report Builder Tools for building and scheduling tailored reports. |
ControllerView provides a toolset for user-driven configurable report building and scheduling. | |
Regulatory Reporting Templates Pre-built templates for regulatory compliance. |
Templates for regulatory frameworks (Basel III, EMIR, MiFID II, etc.) are included as standard in the platform. | |
Client-Specific Reporting Support for customized client and investor reports. |
Client-specific and customizable reporting is mentioned in product datasheets and client case studies. | |
Data Export Capabilities Export to formats like CSV, XML, JSON, or direct API feed. |
The system supports export to user-definable formats including CSV, XML, and JSON, for further downstream integration. | |
Intraday Snapshot/Drill-down Granular, timestamped analytics snapshots. |
ControllerView offers drill-down capabilities for analytics and root-cause/tracing in both risk and regulatory scenarios. | |
Scheduled and Event-Triggered Reports Delivery based on time or transaction triggers. |
Scheduled and event-driven reporting is available, supporting regular, ad hoc, and exception-driven workflows. | |
KPI Dashboard Real-time tracking of key performance indicators. |
Real-time KPI dashboards for regulatory status and risk coverage are presented as standard dashboard features. | |
Reporting Throughput Number of reports generated per hour. |
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Interactive Data Visualization Graphs, charts, and interactive visuals for exploring data. |
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Historical Data Access Access to trade, position, and P&L history. |
Historical data access for trades, submissions, and lineage audit is fundamental to its regulatory reporting/traceability value proposition. | |
Role-Based Report Access Different access privileges per user type. |
Role-based access to reports and data is referenced in the platform's security and compliance material. | |
Automated Error/Exception Reporting Flag and document unusual data conditions. |
Automated detection and reporting of data anomalies (exceptions, reconciliation breaks) is embedded in the platform. | |
Flexible Report Distribution Email, SFTP, API, or secure portal delivery options. |
Multiple flexible distribution models (email, SFTP, secure portal, direct API) are offered for generated reports. |
Horizontal Scalability Able to add additional servers/nodes for increased workload. |
The system supports clustered, horizontally scalable architectures, as referenced in enterprise deployment guides. | |
Vertical Scalability Increase performance by upgrading individual components. |
Performance can be improved by scaling individual components (e.g., adding resources to processing nodes), matching vertical scalability. | |
Concurrent User Capacity Number of users supported simultaneously. |
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Failover Capabilities Seamless system switchover during component failure. |
Failover and high-availability designs are described as standard for large regulatory platforms. | |
Disaster Recovery Time Estimated time to recover services after disaster. |
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Peak Transaction Throughput Capacity to handle surges in trade/event volume. |
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Cloud Deployment Readiness Native or hybrid support for cloud infrastructure. |
ControllerView is available as a cloud-hosted solution (native or hybrid cloud), as per AxiomSL documentation. | |
Auto-Scaling Automatic allocation of resources during high load. |
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Load Balancing Distribution of workload across multiple servers. |
Controllers can be deployed in load-balanced configurations as typical for regulatory reporting workloads. | |
Zero Downtime Upgrades Apply updates without interrupting service. |
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Multi-Instance Support Run multiple concurrent instances for multi-tenant needs. |
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Geo-Redundant Architecture Replication in multiple data centers for resilience. |
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Elastic Storage Capacity Expandable storage for growing trade data. |
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Performance Monitoring Dashboard Real-time resource and throughput monitoring tools. |
Performance and resource monitoring dashboards are frequently referenced to support SLA and troubleshooting. |
Multi-Factor Authentication Requires more than one method for login authentication. |
Role-based access controls and optional enhanced authentication (including multi-factor) are documented as client-definable security features. | |
End-to-End Encryption Trade data encrypted in transit and at rest. |
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Role-Based Access Control Strict user access based on permissions and roles. |
Role-based permissions are standard for regulatory reporting systems due to the need for access segregation (preparation vs. approval vs. submission). | |
Audit Logging Comprehensive logs of user and system actions. |
Audit logging is a core part of the product’s compliance and data lineage guarantees. | |
Single Sign-On (SSO) Integrates with corporate identity services for secure login. |
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Data Loss Prevention Protects against unauthorized data transfer or leakage. |
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Intrusion Detection Monitoring and alerts for potential system breaches. |
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User Session Timeouts Automatic logoff after inactivity. |
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IP Whitelisting Restrict access to approved network addresses. |
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Regular Security Patching Routine application of security updates. |
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Data Masking/Redaction Sensitive information hidden from unauthorized users. |
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Penetration Testing Support Facilitates vulnerability testing and remediation. |
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User Password Policy Enforcement Enforces complexity and rotation requirements. |
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Secure File Transfer All file exchanges via encrypted protocols. |
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Customizable Dashboards Personalize screens for workflows, products, or user roles. |
Many references to customizable dashboards by workflow, user role, and reporting area. | |
Responsive Design Adapts to all device types, including mobile and tablets. |
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Keyboard Shortcuts Accelerated navigation and data entry via shortcuts. |
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Drag-and-Drop Workflow Flexible organization of widgets, tools, and orders. |
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Multiple Language Support UI available in multiple international languages. |
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Real-Time Notifications Instant alerts and messages for trade or risk events. |
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Accessibility Compliance Meets WCAG/ADA accessibility standards. |
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Theme and Branding Adjust color schemes and logos for clients/branches. |
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API Access for Custom UI Support for building custom user interfaces using APIs. |
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Integrated Help/Tooltips In-product tips and help contextually integrated. |
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Bulk Upload/Download Tools Simultaneously upload or download multiple records. |
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UI Response Time Average user interface response latency. |
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Custom Alerts and Filtering Personalized alert and workflow filter settings. |
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Multiscreen/Window Support Arrange and move application windows/floors across screens. |
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Open API Framework RESTful, SOAP, or FIX APIs for all platform capabilities. |
Open APIs are a significant feature, enabling integration with other systems via REST, SOAP, and file-based interchange. | |
Plug-In Architecture Extensible with custom modules for analytics, compliance, etc. |
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Batch File Import/Export Bulk data transfer capabilities to/from other systems. |
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ERP/Back-Office Integration Connectivity to ERP, accounting, and finance software. |
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Data Transformation Tools Utilities to cleanse or reformat inbound/outbound data. |
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Event-Driven Messaging Trigger workflows or alerts based on business events. |
Workflow automation and event-driven triggers (when data changes/arrives, report cycles, exceptions) are promoted as platform strengths. | |
External Data Vendor Integration Pre-built adapters for Bloomberg, Refinitiv, etc. |
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Workflow Automation Engines Custom rule or script-based workflow definition. |
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Reporting System Integration Push data to external or regulatory reporting engines. |
AxiomSL's ControllerView integrates with external reporting engines (such as regulatory endpoints and bank back-office systems); vendor documentation highlights push capability. | |
Testing Sandbox Environments Provision simulated test systems for development. |
Simulated test and UAT environments are standard for regulatory data platforms; AxiomSL documentation confirms availability. | |
Data Synchronization Frequency Time between system sync cycles. |
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Event Log Exporting Ability to export logs in standard formats for analytics. |
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Authentication Federation Single, unified identity across integrated systems. |
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Microservices Support Ability to leverage or expose platform microservices. |
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Automated KYC Checks Integration with KYC databases and workflows. |
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Account Opening Automation Electronic account forms and workflow automation. |
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Document Management Secure upload, storage, and retrieval of client documents. |
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Customer 360 View Consolidated view of client products, history, and interactions. |
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Lifecycle Alerts Notifies relationship managers about reviews, renewals, or milestones. |
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Relationship Tree Mapping Visualization of client, sub-account, and affiliate relationships. |
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Consent and Regulatory Flag Tracking Store and track required client consents. |
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Onboarding Time Metrics Average time to complete onboarding per client. |
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Client Portal Access Self-service web portal for onboarding, documentation, and status. |
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Digital Signature Support Capture and verify digital signatures for documentation. |
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Bulk Client Upload Upload multiple client profiles via template or API. |
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AML Screening Integration Link to Anti-Money Laundering screening tools. |
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Data Anonymization Tools Options to mask or anonymize client data in non-production. |
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Integrated Financial Profiling Risk and suitability profiling embedded in onboarding. |
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Deployment Models Support on-premise, cloud-hosted, or hybrid installations. |
ControllerView is offered on-premise, cloud, or hybrid model as outlined in product brochures. | |
Continuous Integration/DevOps Tooling Support for CI/CD pipelines in development. |
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Automated Upgrades and Rollbacks Easy upgrade/rollback with minimal user disruption. |
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24x7 Monitoring and Alerts Comprehensive operations dashboard with alerting. |
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Self-Healing Processes Automated detection and recovery from common failures. |
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Service Uptime SLA Guaranteed minimum uptime. |
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Automated Backups Scheduled backup of all configuration and data. |
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Rollback/Test Environments Provision of environments for patch or rollback testing. |
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Configuration Management Central, secure management of system configurations. |
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Automated Log Rotation/Retention Manage and purge logs based on policies. |
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Dynamic Scaling Real-time scaling in response to operational load. |
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User Support Portal Issue tracking, ticket portal, and knowledgebase. |
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Automated Patching Automatic rollout of patches/updates. |
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Performance Benchmarking Tools Internal tools to benchmark and report platform performance. |
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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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Multi-Source Data Import Capability to ingest data from various formats, protocols, and platforms (e.g., databases, APIs, flat files, custodians). |
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Real-Time Data Sync Synchronization of data feeds at or near real-time for up-to-date reporting. |
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Data Validation Rules Built-in checks and logic to ensure data quality and flag inconsistencies. |
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Data Enrichment Capabilities Ability to supplement imported data with reference, market, or external datasets. |
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Automated Data Mapping Tools to facilitate mapping of disparate data sources to unified reporting structures. |
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Data Cleansing Functionality Automated routines to correct errors and fill missing values in data sets. |
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Support for Unstructured Data Ability to process documents, emails, or other non-tabular data sources. |
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Batch Data Processing Speed Time taken to process and transform datasets for reporting. |
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Data Lineage Tracking Ability to trace data origins and transformation history for audit purposes. |
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Manual Data Entry Support Functionality for entering data manually in the absence of automated feed. |
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Multi-Jurisdiction Support Ability to handle regulatory rules for multiple countries and regions. |
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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). |
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Automated Rule Updates System updates regulatory rules automatically as new laws come into effect. |
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Custom Rule Creation Admins can define custom compliance rules tailored to organizational policies. |
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Version Control on Regulation Logic Maintains historical versions of rule logic to support retrospective reporting. |
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Audit Trail on Rule Changes Logs and tracks all changes made to compliance and reporting rules. |
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Automated Report Generation Scheduled creation of required regulatory filings. |
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Custom Report Designer Allows creation of bespoke reports in addition to standard templates. |
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Multi-Format Export Export reports in all required electronic and paper formats (XBRL, XML, CSV, PDF, Excel, etc.). |
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Error and Exception Highlighting Automatically identifies and flags potential errors or omissions in draft reports. |
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Direct e-Filing Integration Connects directly to regulators’ portals/APIs for automated submission. |
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Filing Status Tracking Monitors the progress, success, or failure of each report submission. |
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Ad Hoc Reporting Enables rapid, one-off report production for non-routine compliance queries. |
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Historical Filing Storage Stores previously submitted reports for comparison and retrieval. |
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Reporting Frequency Options Supports daily, monthly, quarterly, annual or ad-hoc schedules. |
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Role-Based Task Assignment Allocates tasks to individuals or teams based on permissions and expertise. |
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Automated Alerts & Reminders Sends notifications for deadlines, approvals, and exception handling. |
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Approval Workflow Customization Configurable multi-level review and sign-off processes. |
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Escalation Management Automatically escalates overdue tasks or exceptions to management. |
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Task Status Dashboard Visualizes progress of all workflow tasks in real-time. |
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SLA Monitoring Monitors workflow steps against Service Level Agreements. |
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Automated Scheduling Allows pre-scheduling of recurring tasks and report runs. |
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Exception Handling Rules Predefined responses to common exceptions or workflow bottlenecks. |
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Role-Based Access Control (RBAC) Access permissions can be defined per user or group. |
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Multi-Factor Authentication (MFA) Supports two/multi-factor authentication for user login. |
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Single Sign-On (SSO) Integration Allows users to log in with corporate credentials. |
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Audit Logging Tracks all user actions for monitoring and compliance. |
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Encryption at Rest and in Transit Data is encrypted both when stored and when sent between systems. |
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Granular Data Permissions Fine-grained control over which data a user can view or edit. |
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Time-Based Access Control Ability to restrict system access to specific hours or dates. |
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Full Data Audit Trails Tracks every change to relevant data, reports, and workflows. |
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Audit Log Export Ability to export audit logs for regulator or auditor review. |
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Immutable Records Stores all changes in a tamper-evident manner. |
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Report Reconciliation Logs Logs comparisons between system data and filed reports. |
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User Action History View actions performed by each user on specific records or reports. |
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Change Reason Capture Requires users to provide rationale for material changes. |
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Exception Trend Analysis Tracks patterns in reporting errors or regulatory breaches over time. |
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Compliance Dashboard Visual interface summarizing key compliance risks and activities. |
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Data Quality Metrics Monitors consistency, completeness, and accuracy of reporting data. |
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Historical Comparison Reports Allows period-to-period comparison to identify discrepancies or risks. |
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Outlier Detection Automatically flags results that deviate from norms. |
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Workflow Efficiency Metrics Measures task throughput and identifies bottlenecks. |
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Custom Workflow Builder Design and deploy custom task and approval steps. |
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Configurable Data Fields Add, remove, or modify data fields for changing needs. |
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White-Labelling Options Apply custom branding to user interfaces and reports. |
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User Interface Personalization Enables individual users to customize their dashboards. |
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Rule Engine for Custom Logic Allows non-technical users to define new rules and triggers. |
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Open REST/SOAP APIs Enables external systems to connect and automate data exchanges. |
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Pre-Built Integrations Available plugins for common fund management and accounting platforms. |
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Webhook/Event Notification Support Outbound triggers for events like report completion or data changes. |
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API Call Throughput Maximum number of API requests supported per second. |
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Bulk Data Upload & Download Ability to move large data sets efficiently. |
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Horizontal/Vertical Scaling System can scale out by adding resources or nodes. |
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Concurrent User Limit Maximum number of users able to use the system simultaneously. |
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High Availability/Uptime SLA Service level guarantee for system availability. |
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Peak Load Processing Speed Performance under heavy data or usage peaks. |
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24/7 Technical Support Around-the-clock assistance for critical issues. |
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Comprehensive User Documentation Detailed manuals and online help resources. |
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Integration Support Services Assistance for connecting the product with other systems. |
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Dedicated Account Manager A single point of contact for complex support needs. |
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Onboarding & Training Packages Structured user education for rollout and adoption. |
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Compliance Alert Service Proactive notifications of regulatory changes impacting reporting. |
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