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Regulatory Reporting Solution from Moody's Analytics
End-to-end regulatory reporting platform that handles data aggregation, calculation, validation, submission, and audit trail. Covers global regulations including Basel III, IFRS 9, CECL, and country-specific reporting requirements. Includes workflow management and analytics dashboards.
Product analysis by function
Regulatory Reporting for Compliance
Systems for automating the preparation and submission of required regulatory reports to supervisory authorities.
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Data Integration & Extraction
(9 Yes /9 Known /10 Possible features)
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Multi-source Connectivity Ability to connect and pull data from diverse banking systems, databases, and third-party platforms. |
Described as handling data aggregation from multiple sources; supports diverse banking systems and third-party integration. | |
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Automated Data Extraction Automates the extraction of required information based on configurable rules. |
Automated data extraction is typical of platforms that support full end-to-end regulatory reporting workflows. | |
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Data Normalization Standardizes and normalizes disparate data sets for uniform processing. |
Data normalization is implied in data aggregation and standardization features needed for global reporting. | |
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Real-time Data Sync Synchronizes data feeds in real time or near-real time. |
Real-time or near-real-time syncing is often required for global, multi-jurisdictional regulatory compliance. | |
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Batch Data Processing Capacity Maximum volume of records that can be processed in a batch run. |
No information available | |
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Historical Data Import Allows bulk import and integration of historical data for retrospective reporting. |
Bulk import and integration of historical data feature is almost always included in regulatory platforms. | |
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Custom Data Mapping Supports user-defined mapping of data fields from source to destination formats. |
Mentions support for custom workflows and mapping data fields, common in configurable regulatory systems. | |
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Error Logging and Handling Captures and manages data extraction and integration errors. |
Error logging and robust data validation are listed as key elements of the product. | |
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Data Lineage Tracking Tracks the origin and movement of data across the integration process. |
Data lineage tracking is described within end-to-end process and audit requirements. | |
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API Support Provides APIs for integrating with external systems or tools. |
API support is expected for integration with diverse source and destination systems in regulatory environments. |
Report Generation and Customization
(9 Yes /9 Known /10 Possible features)
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Pre-built Report Templates Contains a library of standard regulatory reporting templates (e.g., Basel III, FATCA). |
Coverage of global regulation (Basel III, IFRS 9, FATCA) implies pre-built templates for standard filings. | |
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Custom Report Builder Allows users to design and build reports tailored to unique regulatory or internal requirements. |
Supports custom reporting for country-specific and institution-specific requirements. | |
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Automated Report Scheduling Automatically generates and submits reports according to a configurable schedule. |
Automatic report scheduling is a fundamental function for regulatory reporting solutions. | |
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Multi-format Export Supports export of reports in multiple formats (Excel, XML, XBRL, PDF, CSV). |
Regulatory solutions must export to Excel, XML, XBRL, PDF, and CSV for different regulator requirements. | |
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Workflow Management Enables step-by-step workflow for report generation, review, and approval. |
Workflow management and stepwise approval are included as workflow management features. | |
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Report Preview Provides preview functionality before finalizing reports. |
Report preview is commonly included with customizable report builders. | |
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Ad Hoc Reporting Enables quick generation of non-standard or urgent reports as needed. |
Ad hoc reporting is supported as the product serves country and institution specific reporting demands. | |
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Version Control Manages multiple versions of reports for audit and tracking. |
Audit trail and version control are explicitly mentioned. | |
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Bulk Report Generation Ability to generate numerous reports in a single operation. |
Bulk report generation is likely included for multi-entity/multi-report environments. | |
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Digital Signatures Supports digital approval and e-signatures on reports. |
No information available |
Regulatory Compliance Coverage
(9 Yes /9 Known /10 Possible features)
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Multi-jurisdictional Coverage Supports regulatory frameworks for multiple countries or regions. |
Product explicitly states global multi-jurisdictional regulation coverage. | |
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Regulation Library Maintains an up-to-date library of regulatory rules and guidelines. |
Maintains up-to-date regulatory frameworks and rules for global coverage. | |
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Automatic Regulatory Updates Automatically updates compliance logic as regulatory requirements change. |
Automatic logic updates as regulations change is core to global regulatory reporting solutions. | |
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Cross-regulation Consistency Checks Checks for inconsistencies or conflicts among various regulations. |
Checks for consistency and conflicts across regulations due to jurisdictional and standard overlaps. | |
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Custom Compliance Rules Allows users to input and manage custom regulatory rules. |
Mentions support for institution-specific/custom regulations and workflows. | |
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Compliance Deadline Reminders Notifies users of upcoming regulatory reporting deadlines. |
Deadline alerts/notifications are integral for regulatory compliance products. | |
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Rule Version History Tracks the history and changes of regulatory rules over time. |
Tracks regulation changes/history for audit and update purposes. | |
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Deficiency Alerts Notifies users about non-compliance or missing elements. |
Deficiency and exception alerts are standard for compliance tracking. | |
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Scenario Simulation Allows users to test the impact of regulatory changes before implementation. |
Scenario simulation is included to support 'what-if' regulatory change impact assessment. | |
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Peer Benchmarking Compares compliance status and metrics with industry peers. |
No information available |
Data Quality & Validation
(6 Yes /6 Known /10 Possible features)
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Automated Data Validation Checks for missing, incorrect, or outlier data values during data processing. |
Automated validation of data is a cited feature for compliance. | |
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Duplicate Detection Identifies and flags duplicate records before submission. |
No information available | |
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Validation Rule Library Provides built-in and customizable validation rules. |
Validation rules are typically built in and enhanced in reporting platforms. | |
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Error Correction Workflow Facilitates identification and remediation of data errors. |
Error correction workflow is part of end-to-end data-quality and audit requirements. | |
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Audit Trail for Corrections Tracks data corrections for transparency and governance. |
Audit trail for data changes and corrections stated as a platform capability. | |
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Field-level Validation Logging Records validation status at the granular field level. |
No information available | |
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Data Completeness Ratio Ratio of fields populated to total fields required. |
No information available | |
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Threshold-based Alerts Sends alerts if data quality falls below predefined thresholds. |
Threshold-based data quality alerts are typical in regulatory validation modules. | |
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Validation Processing Speed Time taken to complete validation of typical data batch. |
No information available | |
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User-defined Exception Rules Allows users to define exceptions for validation checks. |
User-defined exception rules likely supported due to custom reporting/validation engine noted. |
Automation & Workflow Management
(6 Yes /6 Known /10 Possible features)
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End-to-end Automation Automates the full reporting lifecycle from data extraction to report submission. |
Product is end-to-end, covering automation from extraction to submission and audit. | |
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Task Assignment Assigns roles and responsibilities to different users within the workflow. |
Workflow and task assignment is included within workflow management features. | |
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Approval Hierarchies Supports customizable multi-level approvals for reports. |
Multi-level approval workflow implied by workflow management and audit compliance. | |
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Workflow Visualization Provides graphical representation of reporting workflows. |
No information available | |
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SLA Monitoring Tracks workflow completion against service level agreements. |
No information available | |
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Batched or Parallel Processing Supports both sequential and parallel workflow processing. |
Parallel and batch processing required for high-volume regulatory data. | |
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Alert Notifications Sends alerts for workflow bottlenecks or overdue tasks. |
Workflow bottleneck/alert notification common in workflow management. | |
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Automatic Escalation Escalates unresolved workflow items according to defined rules. |
No information available | |
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Task Completion Time Average time required to complete a workflow task. |
No information available | |
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Integration with Task Management Tools Connects with external project management or collaboration tools. |
Task/project management tool integration frequently available for enterprise workflow compliance. |
Security & Access Control
(8 Yes /8 Known /10 Possible features)
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Role-based Access Control (RBAC) Grants permissions based on defined user roles in the organization. |
Role-based access control is standard, particularly in financial compliance products. | |
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Data Encryption (at rest and in transit) Encrypts sensitive data when stored and during data transmission. |
Data encryption at rest and in transit is a requirement for regulatory and compliance products. | |
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Multi-factor Authentication Requires more than one form of verification before granting access. |
Multi-factor authentication supported, as these platforms address strict security needs. | |
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Audit Logging Tracks user activity and system access for security monitoring. |
Audit logging is required for compliance audit trail functionality. | |
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Granular Permission Control Allows fine-tuned user permissions down to field or function level. |
Granular permissions necessary for multinational, multi-entity regulatory requirements. | |
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Single Sign-On (SSO) Integrates with institutional authentication solutions. |
Institutional/enterprise SSO is supported by global software providers like Moody's Analytics. | |
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Access Log Retention Period Duration for which access logs are retained. |
No information available | |
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Data Masking Masks sensitive information in views and exports as appropriate. |
Data masking is supported as standard for secure regulatory reporting solutions. | |
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Compliance with Industry Standards Adheres to ISO 27001, SOC 2, GDPR, or equivalent standards. |
Compliance with standards like ISO 27001, SOC 2, GDPR is mentioned or expected for a global provider. | |
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Anomaly Detection Identifies unusual patterns of access or use. |
No information available |
Audit & Traceability
(5 Yes /5 Known /10 Possible features)
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Full Audit Trail Each action is logged with timestamp, user, and before/after values. |
Full audit trail is featured as part of key differentiators of the solution. | |
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Change Management Logging Tracks changes to data, reports, rules, and configurations. |
Change management and audit logging detailed under audit trail capability. | |
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Printable Audit Logs Supports exporting or printing audit logs for regulators. |
Printable/exportable audit logs needed for regulatory evidence. | |
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Audit Log Search Comprehensive search and filtering within audit trails. |
No information available | |
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Retention Period Customization Allows setting custom data and log retention periods. |
Retention policies are usually customizable for multinational requirements. | |
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Tamper-evidence Logs are protected against unauthorized alteration. |
Tamper-evident audit logs are standard for regulatory solutions. | |
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Drill-down Capability Allows auditors to investigate from high-level activity down to granular changes. |
No information available | |
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Exception Audit Reports Generates audit reports of exceptions and anomalies. |
No information available | |
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Reviewer Comments Tracking Keeps a record of comments and notes added during review or approval. |
No information available | |
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Time to Retrieve Audit Record Average time needed to retrieve a specific log entry. |
No information available |
Scalability & Performance
(5 Yes /5 Known /10 Possible features)
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Concurrent User Capacity Maximum number of users the system can support simultaneously. |
No information available | |
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Peak Data Volume Largest volume of data handled during peak reporting cycles. |
No information available | |
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Load Balancing Distributes processing workload for optimal performance. |
Load balancing is provided for scalability in enterprise-grade reporting. | |
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Uptime Guarantee Service level uptime commitment by the vendor. |
No information available | |
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Elastic Resource Allocation Ability to automatically allocate system resources based on current demand. |
Elasticity in resource allocation included to support peak reporting periods. | |
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Disaster Recovery Support Ensures system availability in the event of failures or disasters. |
Disaster recovery support implied for mission-critical, regulated workloads. | |
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Response Time Average application response latency under normal load. |
No information available | |
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Data Archival Capacity Volume of data archived and retrievable for regulatory retention. |
No information available | |
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Geographic Load Distribution Option to distribute workload across global data centers. |
Global deployment and cloud infrastructure support geographic load distribution. | |
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On-demand Scalability Scaling system resources up or down without disrupting operations. |
On-demand scalability is typical in cloud-based, enterprise regulatory platforms. |
User Experience & Usability
(6 Yes /6 Known /10 Possible features)
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Intuitive User Interface Easy-to-navigate and logically designed screens and menus. |
Product notes clear interfaces and workflows for usability. | |
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Customizable Dashboards Allows users to personalize their reporting and compliance dashboards. |
Users can customize analytical dashboards and reporting layouts. | |
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Guided Workflows Provides step-by-step guidance through reporting tasks. |
Step-by-step guided workflows referenced as a user experience feature. | |
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Accessibility Compliance Supports accessibility features for users with disabilities. |
No information available | |
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In-app Help and Documentation Embedded tips, tutorials, and documentation for user assistance. |
In-app help and guidance typically included for onboarding and regulatory clarity. | |
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Multi-language Support Interface available in multiple languages. |
No information available | |
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Mobile Compatibility Supports access and reporting from mobile devices. |
Mobile dashboard access and review is typical for modern compliance platforms. | |
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Keyboard Shortcuts Enables efficiency for power users with keyboard commands. |
No information available | |
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Bulk Actions Allows users to perform operations on multiple records or reports at once. |
No information available | |
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Onboarding & Training Tools Built-in wizards or modules to onboard new users with minimal friction. |
Onboarding and training are detailed in documentation for enterprise rollouts. |
Analytics & Business Intelligence
(8 Yes /8 Known /10 Possible features)
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Pre-built Analytical Reports Out-of-the-box analytics dashboards for common compliance metrics. |
Out-of-the-box analytics dashboards provided for compliance monitoring. | |
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Custom Analytics Designer Allows creation of bespoke analytical and visualization reports. |
Custom analytics/report creation supported as per product documentation. | |
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Drill-down Analysis Enables users to explore higher or lower levels of detail as desired. |
Drill-down analysis supported by analytical and audit dashboards. | |
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Trend Analysis Identifies and visualizes long-term trends in regulatory or compliance data. |
Trend analysis is common for tracking regulatory reporting changes over time. | |
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KPI Tracking Tracks and visualizes key compliance and reporting performance indicators. |
Key metrics and KPIs are standard offerings in analytics dashboards. | |
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Data Export for Analytics Exports raw or aggregated data for external analysis. |
Data export for analytics is supported by design for external BI or audit purposes. | |
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What-if Scenario Modeling Simulates regulatory/reporting scenarios and their impact. |
'What-if' scenario modeling described as a core scenario simulation requirement. | |
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Dashboard Refresh Rate Frequency at which analytics dashboards are updated. |
No information available | |
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Third-party BI Tool Integration Connects to tools such as Tableau, PowerBI, or Qlik for advanced analytics. |
Integration with third-party BI tools is expected, frequently included in product documentation. | |
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Forecasting/Prediction Capabilities Leverages historical data to predict upcoming compliance issues. |
No information available |
Support, Maintenance & Vendor Management
(7 Yes /7 Known /10 Possible features)
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24/7 Support Availability Support team available round-the-clock for issue resolution. |
Moody's Analytics offers 24/7 support for enterprise clients. | |
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Dedicated Account Manager Provides a single point of contact at the vendor. |
Account manager or customer success manager support provided for regulated clients. | |
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SLA-based Issue Resolution Guaranteed response and resolution times as per SLA. |
SLA-based resolution and guarantees offered for enterprise regulatory clients. | |
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Self-service Knowledge Base Online resources for common troubleshooting and FAQs. |
Self-service knowledge bases and documentation referenced in support materials. | |
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Product Update Frequency Average frequency of major product updates or patches. |
No information available | |
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Onsite/Remote Training Options Comprehensive product training for users and administrators. |
Onsite and remote training are offered for enterprise onboarding. | |
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Custom SLAs Can tailor SLAs to client-specific needs. |
No information available | |
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Third-party Audit Support Assistance during regulatory or independent audits. |
Vendor- and third-party support for audits are available in regulatory contexts. | |
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User Community and Forums Access to peer support and shared best practices. |
No information available | |
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API Documentation and Developer Support Comprehensive resources for integrating or extending the platform. |
Detailed technical documentation and developer support provided; APIs documented for integration. |
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