Overview of Qomply Solutions

Regulatory reporting requirements have increased significantly over the last 10 years, imposing a significant burden of cost and complexity on investment firms.

Qomply’s ReportAssure platform performs accuracy and completeness checks for transaction reports across various reporting regimes such as MiFID, EMIR, CFTC, CSA, HKMA, SFTR, MAS and ASIC. Qomply provides peace of mind to investment firms, relaxed in the knowledge that they are meeting their regulatory requirements.

Qomply’s unparalleled accuracy means that firms get their transaction reporting right the first time.

By removing costly transaction reporting fees and increasing operational efficiency, Qomply empowers firms to take control of the quality of their transaction reporting.

Quality Assurance for Transaction Reports

Transaction Report Diagnostic Auditor ensures transaction reports are right the first time. Only solution trusted by regulatory consultants.

Most comprehensive arsenal of accuracy checks in the industry mitigates regulatory risk, reduces reporting costs, and ensures operational efficiency.

MiFID, CFTC, CSA, HKMA, EMIR, ASIC, SFTR, MAS

Learn more >>>

Winner - RegTech Insights USA Awards - Best Transaction Reporting Solution 2025

Winner - Waters Technology IMD/IRD Awards - Most Innovative Regulatory Solution 2025

Reconciliation for MiFID Transaction Reports

Instantly and efficiently reconciles transactions sent from front-office systems to the regulator versus those received by the regulator. Two-way and three-way reconciliation.

Over-reporting, under-reporting and timeliness are identified in an easy-to-use dashboard.

Many firms still rely on manual processes to reconcile their transaction report data, severely limiting reporting accuracy and productivity.

Qomply’s solutions liberate firms from this burden and transform their business functions, freeing up time to focus on core operating models.

Winner - FOW International Awards - Trade Reconciliation Solution of the Year 2025

Winner - FOW International Awards - Trade Reconciliation Solution of the Year 2023

DualRec | Operational Intelligence for Trade Reconciliation

Identify Every Break. Prove Every Position.

DualRec continuously detects breaks, unmatched trades, and open positions, learning from your resolution workflows to automatically identify, classify, and process issues over time. The result is faster remediation, fewer manual investigations, and a reconciliation process that improves with use.

CFTC, CSA, HKMA, EMIR, ASIC, SFTR, MAS

Winner - AI in Capital Markets Awards - Best AI Solution for Regulatory Reporting 2025

QomplyDirect | Send transaction reports directly to the FCA or regulator

QomplyDirect enriches transaction reports, filters by reportability, and applies a forensic-level validation. Users can then submit directly to the FCA and monitor and manage report status through the Qomply platform. A full-service solution for firms wishing to retain control of their reporting and eliminate the requirement for an ARM<.

Firms undertaking a staged migration may continue using their ARM to submit data in conjunction with QomplyDirect, which can connect directly to most leading ARMs. Users can monitor all report statuses through a single portal — QomplyDirect.

Qomply Managed Services

Qomply’s Managed Service removes the burden, risk, and cost of transaction reporting by outsourcing the end-to-end process. Firms gain confidence that reports are produced, validated, submitted, and reconciled correctly—without the need to build or maintain large in-house operations or compliance teams.

Qomply manages the entire operational lifecycle, from daily data ingestion through to report construction, validation, exception management, submission, support, and reconciliation. The service also includes Errors & Omissions reportingand direct support when interacting with the regulator, providing expert coverage during both day-to-day operations and regulatory scrutiny.

The result is lower operational risk, reduced resourcing pressure, and the assurance that transaction reporting is handled by specialists—allowing your teams to focus on core business activities rather than regulatory execution.

Qomply MiFID Reportability Tool | FCA and ESMA FIRDS Lookup Tool

This free solution instantly determines whether a financial instrument is MiFID-reportable in the UK, the EU, or both. Enter an ISIN or upload a CSV to check multiple instruments across multiple trade datesin a single step.

By inputting an ISIN (instrument identifier), a string of ISINs, or uploading a CSV file for a specific trade date, the service will report, as of that trade date, the region and reportability of that instrument. Therefore, firms will know, unequivocally, if the instrument was reportable, when, and where.

As the only solution to query both FCA FIRDS and ESMA FIRDSacross multiple instruments at once, FIRDS Lookup eliminates manual checks and uncertainty. With an API available for automation, firms can process large volumes instantly, improving efficiency and reducing remediation risk<. Ambiguity of reporting obligations is removed as the tool reaches back in time to determine if an instrument was reportable in a specific regime.

ISIN Quest - The Faster Way to Find Reportable ISINs.

Reportable ISINs are essential for transaction reporting, particularly under UK and EU MiFID. Where firms hold only a CFI Code and trade date, identifying the correct ISIN can be time-consuming and operationally intensive.

ISIN Quest removes this friction by instantly retrieving the correct reportable ISIN from the CFI Code and trade date, even for complex or OTC instruments.

By automating ISIN identification, ISIN Quest streamlines operations, reduces manual effort, and enables firms to report with confidence.

UPI Finder - Instantly Locate the UPI for an ISIN

As transaction reporting regimes increasingly converge around Unique Product Identifiers (UPIs), firms face growing complexity managing both ISINs and UPIs, especially across multiple jurisdictions.

Qomply’s UPI Finder removes this friction by instantly identifying the correct UPI from an ISIN, reducing manual effort, minimising errors, and supporting accurate, compliant reporting.

Overview of Qomply Solutions

Qomply Solutions - At a Glance

Quality Assurance for Transaction Reports

Reconciliation for MiFID Transaction Reports

DualRec | Operational Intelligence for Trade Reconciliation

Identify Every Break. Prove Every Position.

QomplyDirect | Send transaction reports directly to the FCA or regulator

Qomply Managed Services

Qomply MiFID Reportability Tool | FCA and ESMA FIRDS Lookup Tool

ISIN Quest - The Faster Way to Find Reportable ISINs.

UPI Finder - Instantly Locate the UPI for an ISIN

Request a Demo

Let's Get In Touch!