Delegate Your Transaction Reporting or Operations to Qomply
The current regulatory framework does not fully consider the burden placed on firms who may not necessarily have the internal technical & operational resources or regulatory expertise to create accurate transaction reports, ensure the completeness and accuracy, conduct reconciliations, monitor submissions, and manage exceptions.
In response to these challenges, Qomply offers a Managed Service solution. Firms delegate the report construction, operational tasks, and exception handling to Qomply's team of experts.
Qomply Managed Service alleviates the burden of technical expertise but also provides peace of mind that regulatory requirements are being met in a risk-free and cost-effective manner.
Firms have the potential to reduce their transaction reporting costs by over 50 percent. This considers savings across divisions such as technology, internal resource, and operations staff as well as any additional external consultancy services.
Recognised Leader in Transaction Reporting Regimes
Qomply exclusively focusses on transaction reporting, providing quality assurance, reconciliation, report generation, and submission solutions to over 60 investment firms across the UK and EU.
Expert Oversight of Transaction Reporting Pipeline
Qomply Transaction Reporting Team is headed by Sophia Fulugunya who spent six years at the FCA, the majority of her tenure was within the Markets Reporting Team. Sophia also worked for a leading consultancy firm providing regulatory advice and guidance on transaction reporting. Sophia and her team provide daily oversight of the entire reporting chain.
Firms Rely on Qomply for Operational Consistency
All operational processes, starting from the point of consuming daily transaction reports, are conducted by Qomply. This includes report construction, validation, exception management, submission, support and reconciliation. It also includes assistance in preparing Errors & Omissions reports and interacting with the FCA.
Daily Construction of Transaction Reports from Raw Data Points
Daily Validation and Accuracy Checks of Reports
Daily Exception Handling of Issues
First Line Support Resolving Issues Pre-and-Post Submission
Daily Submission of Transaction Reports
Monthly Reconciliation for MiFIR - Daily for EMIR and SFTR
Team of Experts: Recognised Industry Experts
A UK-based team of dedicated regulatory technical, operational, and regulatory experts providing Peace of Mind in your reporting.
Savings: Potential to Save Over 50% in Reporting Fees
By delegating reporting functions, firms save costs across operational, technical, and compliance divisions.
Mitigate Regulatory Risk
Reliable and cost-effective solution in accurate, timely transaction reports providing Peace of Mind that your reporting is accurate.
Award Winning Technology
Qomply's award-winning platform offers one of the most comprehensive accuracy and assurance checks in the industry.
MiFID, EMIR, ASIC, SFTR, MAS, CFTC
Only solution trusted by regulatory consultants
Most comprehensive arsenal of accuracy checks in the industry
Mitigates risk, reduces reporting costs & ensures operational efficiency
Instantly & efficiently reconciles transactions sent from front-office to regulator vs those received by regulator
Two-way and three-way reconciliation
Over-reporting, under-reporting & timeliness identified in easy-to-use dashboard
Send transaction reports directly to regulator or ARM
Through one platform, users monitor status,resolve exceptions & reduce costly reporting fees
Streamlines reporting process & reduces costs
Want to know more or just want to phone us up for a chat?
+44(0)20 8242 4789