Regulatory Reporting

Regulatory

Reduce cost, maintain compliance and standardize the regulatory reporting process across reports.

On-demand transparency and regulatory reporting

Meet regulator and client demands with automated creation of both required and customized reporting templates to manage portfolios and remain compliant with regulatory reporting mandates. Reduce cost, maintain compliance and standardize the regulatory reporting process across reports, geographic location and regulatory authority with one automated end-to-end system.

Automated Regulatory Reporting

Unity NXT is built for speed, scale, and efficiency. Achieve dramatic regulatory filing throughput gains with the system’s flexible data integration, mapping logic, automation, and customizable data validations.

Data-driven from the beginning, this cloud-based solution automates previously manual, error-prone back-office processes with its comprehensive analytics and exception-based workflow. Fully automated output and client-ready file generation cut costs, accelerate reviews, and deliver quality, regulatory-compliant results.

Rapid Response to Regulatory Change

Adaptable regulatory reporting platform

With compressed timelines and frequently changing regulatory mandates, minimize disruption and easily accommodate and deliver reporting to clients and governing bodies. Unity NXT allows you to focus on deadlines and maintain compliance, instead of upgrading IT systems, adding costs and fees, or sourcing extra resources.

Compliance Agility and Adaptable Reporting

Automate data file collection, loading and manipulation

Flexible data automation and always-on, customizable analytics, built on a single operating model, increases efficiency through one system for all post-trade regulatory filings. Reduce time and effort to support new or updated regulatory forms with configurable content and form-specific calculations, enabling faster collaboration, editing and creation.

Reduce Costs and Gain Control

Traceability and Automated Notifications

Decrease risk and improve data integrity with traceability from answer to source and safely collaborate in a single, controlled and auditable system. Unity NXT decreases time-to-problem resolution with transparency into the entire aggregation and calculation lifecycle for each data point included in a filing. Ensure accuracy in the regulatory filing process with validations, compliance rules and warnings that simplify and facilitate customization to support individual needs.

Solvency II Reporting

Produce Solvency II reports and integrate Solvency Capital Requirements (SCR) calculations into portfolio construction transparent data and analytics reporting.

Report Production for Directive and Institutional Clients

Automated workflow functionality

From data upload to delivery of reports, this end-to-end automated solution makes TPT, QRT and SCR reports directly available. SCR calculations, based on the EIOPA standard formula, with a full set of customization options is available – including exclusion of concentration SCR, application of transitional equity shocks to the full portfolio or just a subset, aggregation and decomposition of the sub-SCR for any category.

Our solution offers full transparency
of the results and calculations, availability of the sub-SCR at the position’s levels and detailed available calculations.

Manage Solvency II Investment Implications

360-degree view of your portfolio

SCR calculations, along with a wide range of analytics provide you with a 360-degree view of your portfolio from a risk, performance and capital charges perspective. Advanced analytical libraries offer integration of Solvency II capital charges into portfolio construction, while decomposition of the sub-SCR alongside risk factors monitor the cost implication of the investments.

Customized Regulatory Reporting

Leverage your regulatory reporting data by delivering customized reports to additional stakeholders. Create customized reports in multiple output formats with access to more than 900 measures and make use of pre-calculated results for greater speed or on-the-fly calculations for enhanced flexibility.

Create Unique Reports

Flexible objects-oriented report designer

Client needs often vary from the strict regulator formatting requirements, and now you can better meet those needs and augment the value of regulatory reporting data with custom-formatted reporting. The flexible and intuitive objects-oriented report designer allows you to select measures and format them to create unique reports specific to your needs for instant or batch reporting. Save your report definitions as templates to make automated custom reporting simple and easy.

Meet Evolving Reporting Mandates

Remain compliant and manage risk

Assist your fund management clients to maintain compliance and effectively manage risk. Meet evolving reporting requirements and boost the production of flexible and cost-effective solutions for global reporting, investment restrictions and liquidation strategies.

Consolidated Regulatory Reporting Data

A comprehensive data management and reporting framework specifically designed to help investment managers control, maintain, reconcile and disseminate their data to meet their regulatory obligations

Compliance Agility and Adaptable Reporting

Automate data file collection and preparation

Transparency is paramount for regulatory reporting and calls for superior data management tools, as you manage assets and are required to provide not just the underlying portfolio data, but all of the data necessary to demonstrate regulatory compliance.

Scalable Reporting

Architecture that scales to support growth

Increase your efficiency and reliability by automating the entire regulatory reporting process from data take on, data management all the way up to report generation and dissemination, the solution scales effortlessly as your regulatory reporting requirements grows.

Regulatory Reporting Supported Forms

N-CEN, N-PORT, N-LIQUID | N-MFP, MMFR | FORM PF, AIFMD, CPO-PQR | 13F, FORM ADV | CSSF, BCL, SNB QTRLY | MONTHLY NAV, MMIF, MMM, NON-IRISH QTRLY, SPV | LIQUIDITY, SUBSCRIPTIONS & REDEMPTIONS, ASSET ALLOCATION, SECURITIES LENDING & BORROWING

Regulatory Package
Description
Form
Region
Domicile/Regulator
SEC Modernization Comprehensive solution for complex monthly and annual fund reporting, and liquidity event reporting. N-CEN US/NA SEC
N-PORT US/NA SEC
N-LIQUID US/NA SEC
Money Market Reporting Periodic holdings-level reporting for US and EU Money Market Funds. N-MFP US/NA SEC
MMFR EMEA ESMA
Alternatives Periodic reporting for US and EU Private, Commodity and Alternative Investment Funds. Form PF US/NA SEC
AIFMD EMEA ESMA
CPO-PQR US/NA Nntl. Futures Assn.
Adviser Reporting Investment adviser registration and shareholding disclosures. 13F US/NA SEC
European Administrator Statistical Periodic statistical balance sheet, holdings and valuations reporting from Luxembourg and Swiss regulators. CSSF U1.1 EMEA CSSF
BCL S1.3 EMEA BCL
BCL S.16 EMEA BCL
BCL S2.13 EMEA BCL
BCL TPTOBS EMEA BCL
BCL S2.14 EMEA BCL
BCL S2.15 EMEA BCL
BCL TPTTBS EMEA BCL
BCL S2.16 EMEA BCL
BCL S2.17 EMEA BCL
BCL TPTIBS EMEA BCL
SNB Qtrly EMEA Swiss National Bank
Central Bank of Ireland Periodic Central Bank reporting for Irish and non-Irish Funds and special purpose vehicles selling into Ireland. Monthly NAV EMEA CBI
MMIF EMEA CBI
MMM EMEA CBI
Non-Irish Qtrly EMEA CBI
SPV EMEA CBI
Hong Kong SFC Quarterly reporting for SFC-authorized Funds. Liquidity APAC SFC
Subscriptions & Redemptions APAC SFC
Asset Allocation APAC SFC
Securities Lending & Borrowing APAC SFC

Regulatory Reporting

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Regulatory Reporting

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Additional

Resources

Liquidity Stress Testing: Modelling the Unknown

Market Liquidity Risk: A Scenario Based Approach

Next Generation Liquidity Risk Management

ESMA Money Market Fund Regulation: The Strategic Opportunities that Lie Beneath

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What We Do

Data-Driven Solutions

We are a global leader in data-driven investment management solutions, partnering with our clients to deliver products and services designed to optimize efficiency and control.