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Regulatory Reporting

Regulatory reporting module of RiskValue is tailored for wealth and asset management companies to provide efficiency and ensure compliance in accordance with MiFID (Markets in Financial Instruments Directive).

Core Features

  • Automatic generation and submission of transaction reports to regulatory authorities as required by MiFID (ARM/APA).

 

  • Assess Suitability and Appropriateness of financial products as required by MiFID.

 

  • Record keeping and audit trail: comprehensive records of client interactions, transactions, and communications, storing of client agreements, order details, and communication logs to facilitate audits and regulatory inquiries.

 

  • Compliance monitoring including alerts for potential breaches of MiFID requirements and generation of regulatory reports at regular intervals.
  • Data security standards and client confidentiality, including features such as encryption, access control and security audits.

Benefits

  • Ensures transparency and investor protection.

 

  • Provides accurate and consistent data collection and reporting, reducing the risk of compliance breaches and associated penalties.

 

  • Reduces the time and resources required for compliance activities.

 

  • Streamlines data collection, validation, and submission processes, allowing wealth management companies to focus on core business activities.

 

  • Generates detailed reports and maintains a centralized repository of regulatory documentation, facilitating audits and regulatory inspections.
  • Accommodates regulatory changes providing scalability to handle increasing data volumes and adaptability to integrate with other systems and data sources.

 

  • Allows portfolio managers to gain insights from their regulatory data that can inform strategic decision-making, risk management, and compliance strategies.

 

  • Allows wealth management companies to demonstrate their commitment to compliance and investor protection, enhancing their reputation in the market for attracting new clients.

Core Features

  • Automatic generation and submission of transaction reports to regulatory authorities as required by MiFID (ARM/APA).

 

  • Assess Suitability and Appropriateness of financial products as required by MiFID.

 

  • Record keeping and audit trail: comprehensive records of client interactions, transactions, and communications, storing of client agreements, order details, and communication logs to facilitate audits and regulatory inquiries.

 

  • Compliance monitoring including alerts for potential breaches of MiFID requirements and generation of regulatory reports at regular intervals.
  • Data security standards and client confidentiality, including features such as encryption, access control and security audits.

Benefits

  • Ensures transparency and investor protection.

 

  • Provides accurate and consistent data collection and reporting, reducing the risk of compliance breaches and associated penalties.

 

  • Reduces the time and resources required for compliance activities.

 

  • Streamlines data collection, validation, and submission processes, allowing wealth management companies to focus on core business activities.

 

  • Generates detailed reports and maintains a centralized repository of regulatory documentation, facilitating audits and regulatory inspections.
  • Accommodates regulatory changes providing scalability to handle increasing data volumes and adaptability to integrate with other systems and data sources.

 

  • Allows portfolio managers to gain insights from their regulatory data that can inform strategic decision-making, risk management, and compliance strategies.

 

  • Allows wealth management companies to demonstrate their commitment to compliance and investor protection, enhancing their reputation in the market for attracting new clients.

SUCCESS STORIES

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Book a 20-minute call with our team and explore how we can tailor our offerings to meet your unique needs. Dive deeper into the features and benefits that will drive your success. Let’s start a conversation that could transform your business.

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Also offered as a service

Business Process Outsourcing:

Outsourcing of investment / risk management processes and regulatory reporting are crucial as they allow companies to focus on their core activities while outsourcing specialized tasks to experts. This not only improves efficiency but also can lead to cost savings, improved performance, and enhanced flexibility to adapt to market changes.

 

Services include:

• Data collection through pre-defined electronic means.
• Data management: data aggregation and validation.
• Data communication.
• Parameterization services
• Execution of procedures on RiskValue
• Reports preparation and validation
• Reports delivery and consulting.
• Web access to RiskValue’ s Report Viewer cloud portal
• Continuous monitoring of regulatory reporting obligation and software updates to enhance regulatory compliance.