We call it Sustainable Compliance.ditto.tv/wp-content/uploads/2016/04/RegTek-Solutions-combined-fac… · We call it Sustainable Compliance. Contact CEO – [email protected] Sales

QualityCompleteness

AccuracyTransparency

Our mission is to mutualize the cost and shoulder the burden of tracking and implementing critical regulatory reporting rules.

We combine independent and market-validated actionable regulatory intelligence, with best-of-breed, automated software, to transform an expensive and high-risk task into an efficient, scalable, reliable workflow.

We call it Sustainable Compliance.

Contact

CEO – [email protected]

Sales – [email protected]

www.RegTekSolutions.com

© RegTek Solutions 2018

About RegTek Solutions

• Established regulatory technology pedigree – spun out from Risk Focus Inc. – led by proven executives

• Market-validated: successful Series A funding co-led by Deutsche Börse AG and Illuminate Financial

• A global community of clients use RegTek Solutions today to automate reporting in Europe and North America

• Locations in New York, London & Riga

Flexible & Modular

• Each application integrates

seamlessly with each other and to

existing internal systems

• Can operate ‘stand-alone’ or as

an enterprise-level deployment

Reporting Specialists

• Working with clients and

regulators to:

o define rules

o establish best practice

o feed this insight into

our software

• Delivering collective benefits to

our community

Pragmatic Innovation

• Market-validated technology

• Effective applications built with

the future in mind that:

o solve today’s requirements

o scale to tomorrow’s needs

New York +1 (917) 725 6006

London +44 (0) 203 769 5885

Support – [email protected]

Media – [email protected]

Introducing RegTek Solutions

mailto:[email protected]



Enabling Streamlined, Automated Reporting Workflows

Everything we do at RegTek Solutions stems from our Actionable Regulatory Intelligence – transforming the trade and transaction reporting requirements published by regulators, into the rules that power our automated software solutions. This then powers a suite of applications, designed and developed to improve the Quality, Completeness, Accuracy and Transparency of regulated firms reporting.

Outcomes:

RegTek Solutions empowers Sell-side institutions, Buy-side firms and Venues with a suite of seven proven solutions. Each solution combines our modular technology products to deliver specific trade and transaction reporting functionalities – all driven and designed to meet real requirements established by Regulators. Effective today, and future-proofed for tomorrow.


Contact RegTek Solutions today for more details and a demonstration.


[email protected] York +1 (917) 725 6006

London +44 (0) 203 769 5885

* Product names, logos, brands, and other trademarks used on this site are trademarks or registered trademarks of their respective holders. Use of them doesnot imply any affiliation with or endorsement by them.

Actionable Regulatory Intelligence

Reporting Quality

Assurance

Reporting Quality

Gatekeeper

ReportingCompleteness

Assurance

Delegated Reporting Oversight

ReportingAccuracy Assurance

Complete Reporting

Transparency

Quality

CompletenessAccuracy

Transparency

RegulatoryExceptionHeatmap

QualityCompleteness


Meeting the market challenge, and more...

Overview

Contact us today for more details and to arrange a demonstration.

New York +1 (917) 725 6006

London +44 (0) 203 769 5885 www.RegTekSolutions.com


[email protected]

Features

• Supports transaction reporting across the G20, MIFIR & more

• Community-driven validation improving data quality standards

• Support for all major transaction reporting venues

Controls

• Proactive data quality surveillance framework with rich data & historical analytics

• Real-time alerts via rich operational dashboards

• FpML message flattener supporting management of FpML changes and upgrades

Testing & Analysis

• Analyst workbench to better understand reporting & messaging requirements

• Pre-test new regulatory and DRSP changes [Pre-UAT]

• Automated regression and end-to-end performance testing

Regulatory reporting data quality standards have become the benchmark by which a regulator will assess a firm’s ability to correctly report. It is now explicitly demanded from firms that they have the right controls in place to support and improve data quality.

RegTek Solutions’ VALIDATETRADE provides clients with a rich rules engine for data validation that supports business units across the organization, providing regulatory insight and proactive control throughout the production lifecycle.

VALIDATETRADE is a modular technology solution with a rich API and flexible implementation options, allowing firms to evolve their compliance framework as required.


RegTek Solutions is dedicated to reducing operational risk and cost by providing efficient solutions, independently from any regulator, repository or intermediary. Our strength and value lie in the rules at the heart of each of our solutions, a.k.a. our actionable regulatory intelligence, powered and maintained by our team of industry specialists. This regulatory intelligence supports multiple asset classes, jurisdictions and regulatory bodies across the globe.

Reporting Quality Assurance

Reporting Quality Journey

http://www.regteksolutions.com

mailto:sales%40regtek.solutions?subject=


Introducing RegTek.Solutions

RegTek.Solutions’ mission is to be at the heart of the market’s transformation to sustainable compliance.

Targeting Quality, Accuracy and Transparency, RegTek.Solutions mutualizes the cost and shoulders the burden of tracking and implementing critical regulatory reporting solutions.

Working with all market stakeholders, RegTek.Solutions combines independent, market-validated actionable regulatory intelligence, with proven technologies to offer pragmatic, modular solutions to all financial institutions’ regulatory reporting challenges.

Outcomes:

RegTek Solutions empowers Sell-side institutions, Buy-side firms and Venues with a suite of seven proven solutions. Each solution combines our modular technology to deliver specific trade and transaction reporting outcomes – all driven and designed to meet real requirements established by Regulators. Effective today, and future-proofed for tomorrow.

New York +1 (917) 725 6006

London +44 (0) 203 769 5885




[email protected]


Reporting Quality

Assurance

Reporting Quality

Gatekeeper


Assurance



Complete Reporting

Transparency

Quality


Transparency


QualityCompleteness



Overview


New York +1 (917) 725 6006



[email protected]

Market-leading Validation

• Community-enhanced regulatory rules above repository level validation

• Client bespoke business rules to protect against operational risk

Production-ready Controls

• Leverage diagnostics & gatekeeper output to provide proof of controls to regulators – reducing the risk & cost of sanctions

• Real-time or batch driven verification of reporting submissions to support pre-validation per regulators’ recommendations

Data Quality Surveillance

• Real-time and EOD analysis of the accuracy of data & messages

• Quicker resolution of issues, improved transparency for regulators, better overall data quality

As reporting data quality continues to be a key focus for regulators, the implementation of data quality gatekeepers has become an essential element of a firm’s regulatory reporting framework.

RegTek Solutions’ VALIDATETRADE fulfils that mandate, enabling the pre-validation of reporting messages before submission to a regulated repository. This reduces rejections and improves reporting health statistics viewed by regulators, helping to mitigate potential audits or sanctions.

VALIDATETRADE processes regulatory reporting submissions in real-time or batch, applying an automated, exception-based workflow to analyzing each report for accuracy, completeness and data quality.


Reporting Quality Gatekeeper








Outcomes:


New York +1 (917) 725 6006

London +44 (0) 203 769 5885




[email protected]


Reporting Quality

Assurance

Reporting Quality

Gatekeeper


Assurance



Complete Reporting

Transparency

Quality


Transparency


QualityCompleteness



Overview


New York +1 (917) 725 6006



[email protected]

Production-level Eligibility Engine

• An enterprise-grade platform that assesses each trade from your source system to determine if, why and where it should be reported

• Offering full data lineage & rich traceability back to the regulatory text

Independent Completeness Control

• Global coverage to determine eligibility across all asset classes & jurisdictions

• Includes full coverage for MIFIR eligibility – entity, instrument & activity assessment

Ad-hoc Eligibility Checks

• Enhanced eligibility engine comparing & valuating data at position, event or activity level, in a real-time or batch solution either locally or hosted

• Supports a range of connectivity to the leading repositories across the globe

Regulators require financial organizations to have a robust, effective and transparent control framework to ensure the completeness of their trade and transaction reporting.

RegTek Solutions’ REPORTABLETRADE provides reporting completeness controls to Sell-side and Buy-side firms, enabling the assessment of over- or under-reporting and duplication of another reporting party’s submission.

REPORTABLETRADE provides independent data sourcing, eligibility rules and reference data, which can be powered by the SmartStream Reference Data Utility feed. The engine is modular, ensuring simple integration with existing technology and other RegTek Solutions offerings.


Source Target

Reporting Completeness Assurance








Outcomes:


New York +1 (917) 725 6006

London +44 (0) 203 769 5885




[email protected]


Reporting Quality

Assurance

Reporting Quality

Gatekeeper


Assurance



Complete Reporting

Transparency

Quality


Transparency


QualityCompleteness



Overview


New York +1 (917) 725 6006



[email protected]

Multi-asset & Jurisdiction

• Covering Jurisdictions – EMIR, MiFID, CFTC, ASIC, HKMA, MAS, CSA & JFSA

• Direct, Delegated & 3rd Party reporting reconciliations

• Support for the leading repositories

Best of Breed Reconciliation Engine

• 2 & 3 way reconciliations powered by SmartStream Technologies TLM Premium

• Positions, Activity, Collateral & Valuations

• Complete field-level matching

Key Features

• Advanced case management with workflow controls to manage exceptions & breaks

• Advanced MIS & reports

• Completely audited with full traceability

Regulators require financial organizations to have a robust, effective and transparent control framework to ensure the accuracy of their trade and transaction reporting.

RegTek Solutions’ RECONCILETRADE combines software and regulatory expertise, enabling the Buy-side and Sell-side to conduct the reconciliations mandated by the regulators, providing compliance and business intelligence on the accuracy and effectiveness of their regulatory controls.

RECONCILETRADE is a a pre-packaged and fully-maintained reconciliation product. It empowers users with regulatory insight and protects them against future regulatory change.


Source Target

Reporting Accuracy Assurance








Outcomes:


New York +1 (917) 725 6006

London +44 (0) 203 769 5885




[email protected]


Reporting Quality

Assurance

Reporting Quality

Gatekeeper


Assurance



Complete Reporting

Transparency

Quality


Transparency


QualityCompleteness



Overview


New York +1 (917) 725 6006



[email protected]

Reporting Quality

Completeness & Accuracy

• Identification & resolution of over-reported, under-reported & duplicate transactions

• Field-level reconciliation against your front-office records vs. your Broker & the Repository

Continuous Assurance

• Independent completeness assessment of delegated & assisted reporting by 3rd parties

Multi-asset Class Supporting

Multiple Jurisdictions Globally

• Jurisdictions – EMIR, MiFID, CFTC, ASIC, HKMA, CSA & JSA

• Reporting – DTCC GTR, UnaVista, Regis-TR, Deutsche Börse, CME & others

Regulatory trade and transaction reporting obligations require Buy-side firms to have mechanisms in place to oversee the completeness and accuracy of their reporting – whether done in a direct, delegated or assisted way.

RegTek Solutions’ Delegated Reporting Oversight platform provides Buy-side firms with the market-leading independent continuous assurance solution, giving them control over what others report in their name.

The solution comprises two modules which can be deployed discretely or as part of a sustainable strategic framework:• REPORTABLETRADE offers clients rich decision traceability and diagnostic data• RECONCILETRADE offers a best-of-breed 3-way matching engine, powered by SmartStream Technologies










Outcomes:


New York +1 (917) 725 6006

London +44 (0) 203 769 5885




[email protected]


Reporting Quality

Assurance

Reporting Quality

Gatekeeper


Assurance



Complete Reporting

Transparency

Quality


Transparency


The first and only comprehensive data quality assurance and testing solutionfor Securities Financing Transaction Regulation SFTR is available NOW!

QualityCompleteness



New York +1 (917) 725 6006



[email protected]

VALIDATETRADE, already trusted by more than half of global G16 dealers, has been extended for SFTRTransaction Reporting.

Firms looking to get ahead of the data quality challenges presented by SFTR can use our independent, portable,flexible data quality engine to navigate their SFTR project from inception through to compliance.


SFTRData Quality Assurance


• Over 600 rules already written & tested per Regulatory Tech Specs

• Enhanced validations & customization available

Key Features

• Independent of SFTR reporting workflow or Repository

• Flexible integration – Excel UI for project teams & ISO20022 XMLfor full integration validation changes and upgrades

Global Coverage

• >50% of G16 banks plus leading buy-side and regional sell-side

• Integration with leading venues –DTCC GTR™, UnaVista™, Regis-TR, and others*

Reporting Quality Journey








Outcomes:


New York +1 (917) 725 6006

London +44 (0) 203 769 5885




[email protected]


Reporting Quality

Assurance

Reporting Quality

Gatekeeper


Assurance



Complete Reporting

Transparency

Quality


Transparency


Documents

We call it Sustainable Compliance.ditto.tv/wp-content/uploads/2016/04/RegTek-Solutions-combined-fac… · We call it Sustainable Compliance. Contact CEO – [email protected] Sales