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SS&C Regulatory Reporting Manager from SS&C Technologies
Automates regulatory reporting for fund managers, including AIFMD, Form PF, MiFID II, and more. Ensures compliance with international and regional regulations across jurisdictions.
Product analysis by function
Regulatory Compliance Systems for Risk & Compliance
Platforms that track regulatory requirements, manage compliance workflows, and document adherence to various financial regulations such as UCITS, AIFMD, MiFID II, SEC rules, and other jurisdictional requirements.
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Core Compliance Monitoring
(0 Yes /0 Known /10 Possible features)
Automated Rule Monitoring
Automated checks of fund operations against current regulatory rules.
No information available
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Audit Trail Generation
Maintains comprehensive logs of all compliance activities and policy changes.
No information available
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Real-Time Alerts
Notifies users instantly when potential compliance breaches occur.
No information available
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Custom Rule Configuration
Allows creation and maintenance of firm-specific rules in addition to regulatory ones.
No information available
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Pre-Trade Compliance Checks
Verifies trade compliance prior to execution.
No information available
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Post-Trade Compliance Checks
Analyzes executed trades for post-factum regulatory compliance.
No information available
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Regulatory Change Updates
System is updated with changes and interpretations of relevant regulations.
No information available
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Violation Escalation Workflow
Automated workflows for managing responses to potential or actual compliance violations.
No information available
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Exception Management
Tools for identifying, documenting, and resolving compliance exceptions.
No information available
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Compliance Dashboard
Centralized dashboard summarizing current compliance status and outstanding issues.
No information available
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Reporting & Documentation
(0 Yes /0 Known /10 Possible features)
Automated Regulatory Reporting
Generates and files reports required by relevant authorities (e.g., SEC, ESMA, FCA).
No information available
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Custom Report Generation
Flexible tools to create reports tailored to internal or external stakeholder needs.
No information available
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Scheduled Reporting
Automated scheduling and delivery of reports.
No information available
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Document Archiving
Secure and searchable storage of compliance documents and evidence.
No information available
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Self-Service Reporting
Allows end-users to generate and customize reports without IT involvement.
No information available
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Audit-Ready Documentation
Organizes and formats documentation for easy retrieval during audits.
No information available
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Data Export
Exports data in a variety of industry-standard formats (e.g., CSV, XML, XBRL).
No information available
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Workflow Audit Logs
Preserves historical records of reporting activities and user access.
No information available
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Customizable Permissions
Access to reports and documents controlled by user roles.
No information available
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Regulation-Specific Templates
Pre-built reporting templates for key regulations (AIFMD, Form PF, MiFID II, etc).
No information available
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Data Integration & Management
(0 Yes /0 Known /10 Possible features)
Multi-Source Data Feeds
Integrates with custodians, trading systems, market data, and third-party risk services.
No information available
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Data Normalization
Transforms disparate data sets into a common format for analysis.
No information available
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Real-Time Data Processing
Processes incoming data in near real time for the most current insights.
No information available
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Data Quality Checks
Validates incoming data for completeness and accuracy before use.
No information available
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Automated Data Reconciliation
Cross-checks transaction and position records to spot discrepancies.
No information available
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Bulk Data Upload
Supports batch imports for large data sets (e.g., historical records).
No information available
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API Connectivity
Modern API support for seamless integration with other applications.
No information available
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Flexible File Import/Export
Handles multiple file types for interoperability with legacy systems.
No information available
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Data Encryption in Transit
Ensures sensitive compliance data is encrypted during network transfers.
No information available
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Data Encryption at Rest
Securely encrypts stored regulatory and compliance information.
No information available
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User & Workflow Management
(0 Yes /0 Known /10 Possible features)
Role-Based Access Control
Assigns user permissions based on job function or seniority.
No information available
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Multi-Factor Authentication
Layered security for user login and system access.
No information available
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User Activity Monitoring
Tracks and audits user activity to prevent unauthorized changes.
No information available
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Workflow Automation
Automates routine compliance tasks and approval processes.
No information available
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Delegation & Escalation
Automated reassignment of tasks due to absence or escalation due to time-sensitive issues.
No information available
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Task Notifications
Automated alerts and to-do reminders for compliance staff.
No information available
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Bulk User Management
Efficient onboarding/offboarding and permissions management for multiple users.
No information available
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Custom Workflow Builder
Admins can configure or adapt workflow steps to fit internal compliance procedures.
No information available
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SLA Tracking
Monitors task turnaround against internal and regulatory deadlines.
No information available
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User Audit Trail
Logs all actions taken by users for compliance and internal review.
No information available
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Regulatory Change Management
(0 Yes /0 Known /10 Possible features)
Regulatory News Feed
Automatically imports latest regulatory updates from trusted sources.
No information available
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Impact Assessment Tools
Maps regulatory changes to impacted policies, controls, and business lines.
No information available
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Change Task Assignment
Creates and assigns tasks related to implementing regulatory changes.
No information available
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Policy Update Workflow
Managed workflows for revising and approving compliance policies.
No information available
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Version Control
Tracks changes to compliance manuals and regulatory documents.
No information available
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Change Communication
Automated alerts and updates to all users affected by policy changes.
No information available
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Regulator Correspondence Tracking
Stores and manages communication with regulators regarding rule changes.
No information available
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Gap Analysis Tools
Identifies and analyzes areas where current processes may be non-compliant with new regulations.
No information available
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Automatic Rulebase Update
System automatically updates compliance monitoring based on regulatory changes.
No information available
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Regulatory Calendar
Timelines for key regulatory change deadlines and milestones.
No information available
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Risk Assessment & Management
(0 Yes /0 Known /10 Possible features)
Risk Scoring Engine
Calculates risk scores based on current regulatory and operational exposure.
No information available
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Risk Heatmaps
Visualizes areas of highest compliance and operational risk.
No information available
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Scenario Analysis
Assesses impact of hypothetical compliance breaches or regulatory changes.
No information available
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KRI Monitoring
Tracks Key Risk Indicators defined within the risk management framework.
No information available
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Automated Risk Mitigation Reminders
Notifies responsible parties of required mitigation activities.
No information available
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Incident & Loss Event Logging
Captures details of compliance or operational risk events and remediation.
No information available
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Risk Control Library
Central repository for standard controls and their effectiveness assessments.
No information available
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Linkage of Controls to Regulations
Maps internal controls to regulatory obligations for better gap detection.
No information available
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Risk Mitigation Workflow
Structured processes for investigating and closing out identified risks.
No information available
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Periodic Risk Review Scheduling
Plans recurring reviews and updates to risk assessments.
No information available
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Surveillance & Transaction Monitoring
(0 Yes /0 Known /10 Possible features)
Trade Surveillance
Monitors trades for potential market abuse, manipulation, or limit breaches.
No information available
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AML Screening
Automated screening for Anti-Money Laundering (AML) flags in fund flows and counterparties.
No information available
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Watchlist & PEP Screening
Cross-checks parties against global watchlists and Politically Exposed Person (PEP) databases.
No information available
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Insider Trading Detection
Identifies patterns and suspicious activity suggesting insider trading.
No information available
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Employee Personal Trading Monitoring
Tracks and reviews personal trades by relevant employees for policy compliance.
No information available
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Threshold and Limit Monitoring
Flags trades and positions exceeding predefined compliance limits.
No information available
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Pattern Recognition
Machine-learning based detection of unusual or anomalous patterns in transactions.
No information available
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Counterparty Risk Assessment
Evaluates compliance risks associated with trade counterparties.
No information available
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Transaction Velocity Monitoring
Tracks frequency and volume of transactions.
No information available
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Surveillance Rule Customization
Allows user customization of surveillance scenarios and thresholds.
No information available
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Integration & Connectivity
(0 Yes /0 Known /10 Possible features)
Portfolio Management System Integration
Seamless data import/export with PMS, OMS, or accounting platforms.
No information available
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Custodian and Prime Broker Integration
Direct data feeds from banks and prime brokers for up-to-date positions and transactions.
No information available
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Regulator Portal Submission
Direct, automated submission to regulatory portals (e.g., SEC EDGAR).
No information available
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Third-Party API Support
Robust API ecosystem for integration with regtech or analytics tools.
No information available
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SFTP/FTP Data Transfer
Secure file transfer for batch data loads and reporting.
No information available
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Single Sign-On (SSO)
Integration with enterprise SSO solutions for seamless authentication.
No information available
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Webhook Support
Real-time notifications and data pushes to other applications.
No information available
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Message Queue Connectivity
Support for message queue protocols (e.g., Kafka, RabbitMQ) for large-scale events.
No information available
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RESTful & SOAP APIs
Modern and legacy API protocol support.
No information available
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Custom Integration Development Toolkit
SDK and documentation for developing custom system connectors.
No information available
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Usability & User Experience
(0 Yes /0 Known /10 Possible features)
Intuitive User Interface
Modern UI simplifies complex compliance scenarios for all users.
No information available
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Responsive Design
Works across desktop, tablet, and mobile devices.
No information available
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Customizable Dashboards
Users can tailor home screens to their functional requirements.
No information available
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Search & Filter Functionality
Powerful search and filtering for large compliance datasets.
No information available
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Role-Based Views
Interface elements visible or hidden according to user role.
No information available
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Localization & Multilingual Support
Usable by global teams in multiple languages.
No information available
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Help & Training Resources
Contextual help, tutorials, and user guides built into the application.
No information available
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Onboarding Wizard
Guided setup process for new users or teams.
No information available
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Accessibility Features
Support for WCAG, screen readers, and keyboard navigation.
No information available
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Feedback & Support Ticketing
Easy method to report issues and request enhancements.
No information available
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Security & Privacy
(0 Yes /0 Known /10 Possible features)
Data Encryption (At Rest and In Transit)
AES, TLS, or equivalent encryption for compliance datasets.
No information available
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Granular Access Controls
Permissions at data, action, and record levels.
No information available
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Audit Logging
Immutable logs of all system activity.
No information available
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Security Incident Notification
Alert system for detected security breaches.
No information available
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Data Retention Controls
Configurable settings for how long sensitive information is stored.
No information available
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GDPR/CCPA Compliance Tools
Mechanisms to support global data privacy regulations.
No information available
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User Authentication Options
Choice of password, token, or biometric login.
No information available
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Penetration Testing Certification
Third-party security testing on a regular basis.
No information available
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Advanced Threat Detection
AI or signature-based recognition of malicious activity.
No information available
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Data Masking
Hides sensitive data when not absolutely necessary for user role.
No information available
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Scalability & Performance
(0 Yes /0 Known /10 Possible features)
Concurrent User Support
Handles simultaneous logins and usage by multiple compliance staff.
No information available
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Response Time
Average system response time under maximum load conditions.
No information available
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High-Volume Data Processing
Capable of ingesting and analyzing large sets of transactional data.
No information available
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Elastic Storage Scaling
Automatic increase in storage allocation as data grows.
No information available
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Load Balancing
Distributes workload efficiently across servers.
No information available
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Disaster Recovery
Ability to recover compliance data and settings after critical failure.
No information available
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Cloud and On-Premise Support
Supports both deployment models, as needed by the organization.
No information available
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Scheduled Downtime Notifications
Advanced notice and minimal disruption during system maintenance.
No information available
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Redundancy & Failover
Backup mechanisms to maintain service during system outages.
No information available
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Uptime Guarantee
SLA-based assurance of system availability.
No information available
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