Generate Consolidated Audit Trail reporting from internal and external resources with rich exception management and correction features.
Stay in front of CAIS with n-Tier’s award-winning oversight and monitoring of reconciliation, validation, and reporting.
Get in-depth EBS regulatory reporting insight built from extensive brokerage expertise in trading, middle-office, and settlement across all asset classes.
Execute LOPR validation, reconciliation, and report generation backed by deep experience in LOPR regulatory reporting across all asset classes.
Integrate and validate your reporting from different systems with daily reconciliation.
Generate public 606a1 reports and client 606b1/606b3 reports through real time collection and consolidation.
Comprehensive solution to aggregate and monitor short positions against the 13f-2 daily/monthly thresholds and prepare Form SHO filing
Achieve comprehensive transparency for your firm’s 10c-1a / Slate securities loan reporting with n-Tierʼs flexible and highly scalable Compliance Workbench platform.
Receive daily TRACE and MSRB reconciliation for reporting with front-office trade blotters and source data while ensuring reported transactions.
Aggregation of data across different sources and reporting obligations for both validation and research
Out-of-the-box validation rules for individual regulations
Customizable capabilities allowing rule alterations based on customer’s business profile and reporting interpretations
Back to source data comparison capabilities supporting best in class regulatory reporting practices
Continuous validation capabilities targeted at verification of all reportable data in contrast to ineffective sampling approaches for validation
Integrated exception management with both pre and post submission data correction capabilities
Report aggregation across different venders – providing centralized view into your firm’s reporting
Report generation capabilities which can be leveraged as needed to meet reporting obligations
Find out how to leverage a configurable solution for monitoring and managing data completeness and accuracy, across critical business processes.
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