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SIX Regulatory Reporting Service from SIX

Modular solution for MiFID II/ESMA, EMIR, SFTR, and other regulatory compliance needs, tailored for brokers and market participants. Provides data enrichment, validation, secure reporting, and automated submission to authorities. Includes exception management and monitoring.

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Product analysis by function

Regulatory Reporting Solutions for Compliance

Platforms that automate the preparation and submission of required reports to regulatory authorities, ensuring accuracy and timeliness.
More Regulatory Reporting Solutions More Compliance ...

Automated Data Collection
(8 Yes /8 Known /10 Possible features)

Report Generation & Customization
(7 Yes /7 Known /10 Possible features)

Automated Submission & Filing
(10 Yes /10 Known /10 Possible features)

Compliance Rule Management
(8 Yes /8 Known /10 Possible features)

User Access & Workflow Control
(3 Yes /3 Known /10 Possible features)

Validation, Verification, and Reconciliation
(4 Yes /4 Known /10 Possible features)

Audit, Logging & Traceability
(2 Yes /2 Known /10 Possible features)

Security & Data Privacy
(8 Yes /8 Known /10 Possible features)

Scalability, Performance & Availability
(5 Yes /5 Known /10 Possible features)

Integration & Interoperability
(9 Yes /9 Known /10 Possible features)

Usability, Support & Maintainability
(8 Yes /8 Known /10 Possible features)

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Multi-source Connectivity Ability to connect and ingest data from various back-office, trading, and accounting systems.		Product claims modular connectivity for brokers, covering multiple data sources such as transaction, reference and position data.
Real-time Data Sync Synchronize data feeds with minimal latency for up-to-date reporting.		No information available
Data Validation Rules Built-in logic to check data accuracy and completeness before report generation.		Product describes built-in validation prior to submission (data accuracy and completeness).
Data Normalization Standardize and reconcile differing data formats for consistent processing.		Product documentation refers to data normalization and enrichment pre-reporting.
Audit Trail for Data Changes Track every data modification for compliance reviews and troubleshooting.		Service includes complete audit trails of all reporting steps, per product materials.
Bulk Data Import & Export Support for batch processing of large data sets.		Bulk processing and batch file support for reporting noted as supported (e.g. EMIR, SFTR).
Metadata Tagging Assign metadata to reportable items for easier querying and classification.		No information available
Secure Data Transfer Encrypt data in transit and at rest when collecting from external/internal systems.		Mentions secure data transfer and encryption of all transmissions and storage.
Historical Data Access Capability to retrieve and report on previous periods’ data for amendments or resubmissions.		Historical data resubmission/amendment capability is provided for regulatory audit.
Automated Data Error Alerts Triggers notifications to appropriate personnel upon data discrepancies.		Exception management, monitoring, and alert notification features in product overview.

Pre-configured Report Templates Availability of standard templates catering to key regulatory regimes (e.g., SEC, FINRA, ESMA, MiFID II).		Standard report templates for MiFID II, EMIR, SFTR, etc. available per documentation.
Custom Report Builder Tools for users to create and save custom report layouts.		Custom report options and customer-driven customization supported in offerings.
Multi-lingual and Multi-jurisdictional Support Create reports that comply with different regions’ language and format requirements.		Multi-jurisdictional (e.g., MiFID II, ESMA, EMIR, SFTR) and region-specific formats supported.
Template Version Control Track edits to report templates and maintain version histories.		Version control and audit trails for report templates mentioned in compliance/IT section.
Flexible Output Formats Generate reports in common formats (PDF, XLSX, XML, XBRL, CSV, etc.).		Supports PDF, CSV, XML, XBRL outputs for regulatory reporting needs.
Built-in Documentation Guidance Inline links to regulatory rulebooks and context-sensitive help.		No information available
Scheduled Report Generation Support for automating recurring report creation on a fixed schedule.		Scheduled and recurring report generation mentioned as a feature.
Conditional Formatting Highlight fields or sections based on thresholds or logic.		No information available
Cross-report Referencing Easily link and reference data between different reporting outputs.		No information available
Ad-hoc Reporting Tools for spontaneous, on-demand reporting beyond pre-defined templates.		Product supports exception-based and ad-hoc reporting for compliance teams.

Direct Electronic Filing Integration Submit reports directly to regulators (e.g. FINRA Gateway, EMIR, SEC EDGAR) via secure APIs.		Direct electronic regulatory submissions (API, SFTP, web gateway) described.
Submission Scheduling Automated workflows to submit reports by due dates, with configurable timing.		Automated submission scheduling with configurable due dates supported.
Submission Status Tracking Automatically track acknowledgment, rejection, and feedback from regulators.		Submission monitoring/tracking (for acceptance and errors) included.
Multi-channel Filing Support Capability to file via APIs, SFTP, web uploads, or email.		Supports multi-channel filing: APIs, SFTP, and email/upload interfaces.
Resubmission Handling Automated management for rejected or corrected files.		Automated handling of rejections and corrections supported.
Submission Confirmation Receipts Automated storing and alerting for successful receipts from regulators.		Submission confirmation, delivery receipts, and audit logs provided for compliance.
Automatic Time Zone Adjustment Ensure timing compliance across global regulatory deadlines.		Notes reference multi-time-zone and regulatory deadline support.
Batch Filing Send multiple reports in a single operation.		Batch processing and filing described within bulk submission and operations context.
Submission Audit Log Maintain a history of all filings and statuses.		Submission and filing audit logs are maintained and accessible.
Submission Encryption and Security Protect reports during filing via encryption and secure transport.		Encrypted data transmission and secure file exchange for regulatory filings.

Dynamic Rule Engine Configurable logic engine for defining current and evolving compliance requirements.		Dynamic and configurable rule logic is a core offering for regulatory changes.
Regulatory Update Feeds Automatic import of new rules or changes from authoritative sources.		Feeds for regulatory change monitoring and import of new rules available.
Gap Analysis Tools Identify where processes or data fail to meet regulatory standards.		Product offers gap analysis tools to identify regulatory compliance shortfalls.
Automated Testing and Simulation Run simulated reporting scenarios to gauge rule adherence.		No information available
Exception Identification Flags and logs when data or processes breach compliance logic.		Exception identification, flagging, and monitoring are emphasized.
Customizable Rule Parameters Users can adjust thresholds, triggers, or definitions as rules change.		Rules and triggers configurable as regulatory requirements evolve.
Rule Version Control Maintains historical views on rule changes and their effective dates.		Rule version history and change tracking referenced in documentation.
Peer Benchmarking Compare compliance metrics to industry benchmarks for best practices.		No information available
Regulatory Change Alerts Proactive notifications about legal or regulatory amendments.		Real-time alerts on regulatory change are mentioned among key compliance features.
Multi-regime Support Manage and apply rules from different regulatory bodies simultaneously.		Handles MiFID, EMIR, SFTR, and multi-jurisdictional regimes simultaneously.

Role-based Access Control Define granular permissions for viewing, editing, and submitting reports.		Service offers user-level access controls (per documentation for compliance).
Multi-level Approval Workflows Design workflows with several review or sign-off stages for quality assurance.		No information available
User Action Audit Trails Record all actions taken on reports and the responsible users.		Logs all user actions and report changes for full traceability.
Delegation and Proxy Rights Temporary assignment of reporting responsibilities during absences.		No information available
Separation of Duties Enforcement Prevent conflicts of interest or fraud through process design.		No information available
Single Sign-On (SSO) Integrate user authentication with enterprise identity providers.		Product supports enterprise identity management including SSO.
Access Expiry and Time-bound Permissions Automatically revoke temporary or project-based access rights.		No information available
Commenting & Annotation Enable reviewers to discuss or flag report sections.		No information available
Workflow Automation Triggers Initiate escalation or notification chains based on workflow status.		No information available
Configurable Approval Hierarchies Set rules for escalating reports to more senior reviewers as needed.		No information available

Automated Data Reconciliation Compare reported values to primary records for completeness and correctness.		Automated reconciliation of submitted and source data is referenced as compliance control.
Multi-level Data Validation Checks Run configurable validation layers prior to submission.		Describes multi-stage and user-configurable validation before submission.
Anomaly Detection Identify data outliers that might signal errors or fraudulent activity.		No information available
Reconciliation Reporting Generate summary and detailed reports of reconciliation status.		Reconciliation and exception summary reports indicated in product materials.
Variance Threshold Configuration Set tolerances for acceptable deviations in reported figures.		No information available
Reconciliation Exception Handling Automatically flag and record unresolved discrepancies.		No information available
Historical Comparison Tools Detect substantial shifts in reported figures compared to previous periods.		Service performs automatic historical/period comparison for trend analysis.
Third-party Reconciliation Integration Integrate with custodians, exchanges, or CCPs for third-party verifications.		No information available
Automated Certifier Assignment Route unresolved exceptions to appointed users for final approval.		No information available
Parallel Processing Capabilities Run reconciliation/verifications for high data volumes simultaneously.		No information available

Comprehensive Audit Trails Log all user actions, data changes, system events, and submissions.		Comprehensive logging and traceability for all user/data events mentioned.
Immutable Log Records Protect logs from unauthorized modification or deletion.		No information available
Time-stamped Records Apply secure time stamps to all audit entries.		Logs and audit records are time-stamped by the system.
Log Retention Policy Controls Configurable, compliance-aligned retention and deletion schedules.		No information available
Audit Export Tools Easily export logs for third-party auditors or regulators.		No information available
Searchable Audit History Advanced filtering/search tools to quickly find log entries.		No information available
Automated Tamper Detection Alerting or locking of logs upon suspicious activity.		No information available
External Audit Interface Designated portal or access methods for external audit reviews.		No information available
Change Impact Reports Summarize the impact of system/process changes over time.		No information available
Integration with SIEM/SOC Tools Interoperate with security incident monitoring systems.		No information available

End-to-end Data Encryption Encrypt data both at rest and during transmission.		End-to-end encryption (at rest and in transit) for all regulatory data and transmissions.
Multi-factor Authentication (MFA) Require multiple identity verifications for high-risk actions.		Multi-factor authentication available for user and administrator access.
Granular Permission Controls Limit visibility and editability of reports, fields, and workflows.		Granular user permissioning configurable per role, data, and workflow.
Automated Data Masking Redact personally identifiable information for non-authorized users.		PII redaction and data masking referenced for non-authorized users.
Intrusion Detection & Alerting Monitor for and alert on unauthorized access or suspicious activity.		Monitoring and alerting for unauthorized access events are core offering.
Security Patch Management Automated checks and deployments of security updates.		Security patch automation and vulnerability update process supported.
Vulnerability Scanning Regular scans of the solution for potential security weaknesses.		No information available
GDPR/CCPA Readiness Design features with global data privacy requirements in mind.		Product mentions GDPR and global data privacy compliance.
Incident Response Plan Integration Links security alerts to broader enterprise incident management processes.		No information available
User Session Timeout/Lockout Controls Auto-logout after periods of inactivity.		Session timeout and inactivity lockout described in security features.

Concurrent User Support Number of users who can actively operate the system at once.		No information available
Report Generation Speed Average time taken to produce a standard compliance report.		No information available
High Availability Failover Resilient infrastructure with instant failover in event of primary system failure.		High-availability, failover and BC/DR described as part of infrastructure.
Disaster Recovery RPO/RTO Maximum tolerable period for data loss and restoration time following a failure.		No information available
Load Balancing Distribute processing tasks over multiple nodes/servers.		Product/service runs on load-balanced and scalable cloud architecture.
Elastic Resource Scaling Dynamically add or remove computation/storage capacity as usage demands.		Elastic scaling and resource allocation provided as part of cloud model and SLA.
Uptime SLA Percentage of time the system is guaranteed to be operational.		No information available
Large Data Volume Support System’s tested maximum data processing size per reporting cycle.		undefined Handles high data volume for EMIR/SFTR per-cycle reporting (exact figure not stated).
API Rate Limiting Maximum number of API requests permitted per time unit.		No information available
Multi-tenant Isolation Logical isolation between different client/system environments.		Data and environment isolation between clients explicitly stated as cloud compliance control.

Open API Availability Publicly documented APIs for extensible integrations.		APIs available for custom and partner integration, per product website.
Standard Data Format Support Import/export in regulatory or industry standards (FIX, ISO 20022, XBRL, CSV, etc.).		Supports import/export in all common regulatory standard formats (XBRL, CSV, XML).
Plug-in Architecture Add new modules with minimal development effort.		No information available
Outbound Webhook Support Trigger external workflows or third-party downstream systems.		Can trigger downstream or partner workflows upon report events (API/webhook).
Pre-built Integrations Native affordances for connecting with major core brokerage/financial/CRM platforms.		Pre-built integrations to brokers, custodians, and trading platforms are available.
Legacy System Compatibility Data and process integration with older or on-premise systems.		Product claims compatibility with legacy systems, on-premises, and modern core platforms.
API Security (e.g. OAuth2, mTLS) Adherence to industry-standard secure authentication and encryption in API calls.		APIs and integrations are secured (OAuth2, mTLS referenced in technical docs).
File Transfer Protocol Support SFTP, FTPS, and similar protocols for batch data movement.		Batch file movement via SFTP, FTPS, and secure protocols is supported.
Data Mapping Tools Graphical UIs or scriptable tools for mapping and transforming data fields.		Data mapping and transformation tools (UI and scripting) for onboarding new feeds.
Extensible Web Services SOAP/RESTful web services for custom integrations.		SOAP/RESTful web services extensibility for custom needs is described.

Intuitive User Interface Accessible, clearly organized screens and workflows.		User-centric dashboards and workflow are cited as core usability features.
Contextual Help and Guides Embedded instructions, tool-tips, and support for business processes.		Embedded help, guides, and in-product contextual support included.
Self-service Administration Non-technical users can configure key solution features without vendor support.		No information available
Automated Software Updates Receive and apply new releases with minimal manual intervention.		Automated service updates and continuous delivery outlined in SaaS model.
24/7 Vendor Support Access to technical and regulatory experts at any time.		24/7 vendor and compliance support listed as available for clients.
In-product Feedback Mechanism Users can report issues or suggest features directly in the application.		No information available
Customizable Dashboards User or team-specific homepages summarizing KPIs and exceptions.		Dashboards are customizable for user roles and regulatory obligations.
Training & Onboarding Programs Comprehensive learning resources and workshops for new users.		Training, onboarding, and support events for new users provided as part of onboarding.
Performance Monitoring Tools Dashboards for technical health and issue detection.		System offers performance and monitoring dashboards for technical health.
Multi-device Access Full functionality on desktop, tablet, and mobile devices.		Available via browser for desktop, tablet, and mobile; responsive UI.

SIX Regulatory Reporting Service from SIX

Product analysis by function

Regulatory Reporting Solutions for Compliance

Automated Data Collection (8 Yes /8 Known /10 Possible features)

Report Generation & Customization (7 Yes /7 Known /10 Possible features)

Automated Submission & Filing (10 Yes /10 Known /10 Possible features)

Compliance Rule Management (8 Yes /8 Known /10 Possible features)

User Access & Workflow Control (3 Yes /3 Known /10 Possible features)

Validation, Verification, and Reconciliation (4 Yes /4 Known /10 Possible features)

Audit, Logging & Traceability (2 Yes /2 Known /10 Possible features)

Security & Data Privacy (8 Yes /8 Known /10 Possible features)

Scalability, Performance & Availability (5 Yes /5 Known /10 Possible features)

Integration & Interoperability (9 Yes /9 Known /10 Possible features)

Usability, Support & Maintainability (8 Yes /8 Known /10 Possible features)