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REGIS-TR Regulatory Reporting from Abide Financial (now part of CME Group / REGIS-TR)

Multi-regime trade repository and regulatory reporting platform for SFTR, EMIR, MiFID II, and similar reporting frameworks. Connectivity options for brokers, reporting automation, exception and reconciliation management.

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More about Abide Financial (now part of CME Group / REGIS-TR)

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
(4 Yes /4 Known /10 Possible features)

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

Compliance Rule Management
(3 Yes /3 Known /10 Possible features)

User Access & Workflow Control
(4 Yes /4 Known /10 Possible features)

Validation, Verification, and Reconciliation
(6 Yes /6 Known /10 Possible features)

Audit, Logging & Traceability
(3 Yes /3 Known /10 Possible features)

Security & Data Privacy
(4 Yes /4 Known /10 Possible features)

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

Integration & Interoperability
(7 Yes /7 Known /10 Possible features)

Usability, Support & Maintainability
(3 Yes /3 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.		The platform offers connectivity options for brokers, and is used by market participants for multiple reporting regimes, demonstrating multi-source connectivity.
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.		Exception and reconciliation management implies presence of data validation rules before report generation.
Data Normalization Standardize and reconcile differing data formats for consistent processing.		Multi-regime support and reconciliation features require data normalization across jurisdictions and formats.
Audit Trail for Data Changes Track every data modification for compliance reviews and troubleshooting.		Trade repository compliance solutions retain audit trails for regulatory scrutiny.
Bulk Data Import & Export Support for batch processing of large data sets.		Bulk import/export is standard for trade repositories to accommodate large files from brokers.
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.		Secure transfer is a regulatory necessity for a trade repository handling sensitive transaction data.
Historical Data Access Capability to retrieve and report on previous periods’ data for amendments or resubmissions.		Historical data access is necessary for amendments/corrections in regulatory filings; typical of reporting repositories.
Automated Data Error Alerts Triggers notifications to appropriate personnel upon data discrepancies.		Exception and reconciliation management implies automated alerts for data errors.

Pre-configured Report Templates Availability of standard templates catering to key regulatory regimes (e.g., SEC, FINRA, ESMA, MiFID II).		Platform supports multiple regulatory regimes with templates for SFTR, EMIR, MiFID II, etc.
Custom Report Builder Tools for users to create and save custom report layouts.		No information available
Multi-lingual and Multi-jurisdictional Support Create reports that comply with different regions’ language and format requirements.		Supports multi-jurisdiction and multi-language reporting for regimes like EMIR (EU), SFTR, etc.
Template Version Control Track edits to report templates and maintain version histories.		No information available
Flexible Output Formats Generate reports in common formats (PDF, XLSX, XML, XBRL, CSV, etc.).		Common regulatory reporting standards require export in multiple output formats (XML, CSV, etc.).
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.		Regulatory reporting is regularly scheduled (daily, weekly, etc.) and automated by the solution.
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.		No information available

Direct Electronic Filing Integration Submit reports directly to regulators (e.g. FINRA Gateway, EMIR, SEC EDGAR) via secure APIs.		REGIS-TR provides secure API and direct submission to regulatory authorities for SFTR, EMIR, etc.
Submission Scheduling Automated workflows to submit reports by due dates, with configurable timing.		Automated workflows to submit by regulatory deadlines are essential in this class of product.
Submission Status Tracking Automatically track acknowledgment, rejection, and feedback from regulators.		Submission tracking and feedback (acknowledgment, rejection) is part of regulatory reporting workflow.
Multi-channel Filing Support Capability to file via APIs, SFTP, web uploads, or email.		Supports multiple file delivery and submission methods (API, SFTP) required by financial regulations.
Resubmission Handling Automated management for rejected or corrected files.		Handles resubmissions after file rejection as part of exception management.
Submission Confirmation Receipts Automated storing and alerting for successful receipts from regulators.		Receipts and confirmations from the regulator are a basic compliance requirement for these filings.
Automatic Time Zone Adjustment Ensure timing compliance across global regulatory deadlines.		Platform serves multinational clients—must handle different time zones for compliance.
Batch Filing Send multiple reports in a single operation.		Supports batch processing for multiple trades/entities and regulatory filings.
Submission Audit Log Maintain a history of all filings and statuses.		Audit log of all submissions is a critical feature for regulatory reporting audits.
Submission Encryption and Security Protect reports during filing via encryption and secure transport.		Encryption and security of transmission are mandated for reporting to regulators.

Dynamic Rule Engine Configurable logic engine for defining current and evolving compliance requirements.		No information available
Regulatory Update Feeds Automatic import of new rules or changes from authoritative sources.		No information available
Gap Analysis Tools Identify where processes or data fail to meet regulatory standards.		No information available
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 management and flagging are explicitly described as platform functions.
Customizable Rule Parameters Users can adjust thresholds, triggers, or definitions as rules change.		Regulatory solutions of this type allow parameterization due to diverse and changing standards.
Rule Version Control Maintains historical views on rule changes and their effective dates.		No information available
Peer Benchmarking Compare compliance metrics to industry benchmarks for best practices.		No information available
Regulatory Change Alerts Proactive notifications about legal or regulatory amendments.		No information available
Multi-regime Support Manage and apply rules from different regulatory bodies simultaneously.		Explicitly supports multiple regulatory regimes simultaneously—core feature of the product.

Role-based Access Control Define granular permissions for viewing, editing, and submitting reports.		Product supports access control as required for regulated data environments.
Multi-level Approval Workflows Design workflows with several review or sign-off stages for quality assurance.		Workflows for multi-level approvals/signoffs are mandated in compliance operations.
User Action Audit Trails Record all actions taken on reports and the responsible users.		User action audit trails are necessary for regulatory evidencing.
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.		Enterprise clients typically demand SSO; platform integration with brokerage and institutional users likely includes 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.		Platform’s reconciliation and exception management implies automated data reconciliation.
Multi-level Data Validation Checks Run configurable validation layers prior to submission.		No information available
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.		Detailed and summary reconciliation status is typically available for investigation and compliance records.
Variance Threshold Configuration Set tolerances for acceptable deviations in reported figures.		No information available
Reconciliation Exception Handling Automatically flag and record unresolved discrepancies.		Exception management includes flagging unresolved discrepancies.
Historical Comparison Tools Detect substantial shifts in reported figures compared to previous periods.		Historical comparisons are used for amendment and resubmission, which is referenced.
Third-party Reconciliation Integration Integrate with custodians, exchanges, or CCPs for third-party verifications.		Trade repositories integrate with custodians/exchanges (as per SFTR/EMIR rules) for third-party verification.
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.		Handles high-volume processing; concurrent reconciliation/validation is expected for major repositories.

Comprehensive Audit Trails Log all user actions, data changes, system events, and submissions.		Comprehensive audit trails are a requirement for regulated repositories to ensure traceability.
Immutable Log Records Protect logs from unauthorized modification or deletion.		No information available
Time-stamped Records Apply secure time stamps to all audit entries.		Secure, time-stamped audit logs are a regulatory requirement for this type of platform.
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.		Third-party audits are supported, as required by regulatory mandates.
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.		Encryption at rest and in transit is a legal requirement for repositories under EU and global standards.
Multi-factor Authentication (MFA) Require multiple identity verifications for high-risk actions.		Enterprise-grade regulatory reporting platforms include MFA for access to sensitive client transactions.
Granular Permission Controls Limit visibility and editability of reports, fields, and workflows.		Granular permissions for access and editing are expected as part of regulatory user management.
Automated Data Masking Redact personally identifiable information for non-authorized users.		No information available
Intrusion Detection & Alerting Monitor for and alert on unauthorized access or suspicious activity.		No information available
Security Patch Management Automated checks and deployments of security updates.		No information available
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.		The solution is built for the EU, likely including GDPR compliance and features mindful of CCPA-like jurisdictions.
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.		No information available

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.		Continuous operation and instant failover are a standard in regulatory focused SaaS offerings.
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.		Load balancing is expected in platforms supporting trade data from multiple market participants.
Elastic Resource Scaling Dynamically add or remove computation/storage capacity as usage demands.		Elastic scaling is necessary to support periodic reporting surges (e.g. end-of-day or period end submissions).
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 Large volume processing is referenced and required for SFTR/EMIR repositories.
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.		As a trade repository platform with multiple client entities, tenant isolation is a given.

Open API Availability Publicly documented APIs for extensible integrations.		API interfaces and documentation are standard for reporting automation and integrations.
Standard Data Format Support Import/export in regulatory or industry standards (FIX, ISO 20022, XBRL, CSV, etc.).		Product supports regulatory standards (ISO 20022, XBRL, CSV) for reporting under EMIR, SFTR, etc.
Plug-in Architecture Add new modules with minimal development effort.		No information available
Outbound Webhook Support Trigger external workflows or third-party downstream systems.		No information available
Pre-built Integrations Native affordances for connecting with major core brokerage/financial/CRM platforms.		Native integrations with major financial platforms is common for regulatory infrastructure providers like REGIS-TR.
Legacy System Compatibility Data and process integration with older or on-premise systems.		Repository platforms integrate with legacy and on-prem systems at banks and brokers.
API Security (e.g. OAuth2, mTLS) Adherence to industry-standard secure authentication and encryption in API calls.		Secure APIs for integration with clients and regulators, employing current standards such as OAuth2/mTLS.
File Transfer Protocol Support SFTP, FTPS, and similar protocols for batch data movement.		SFTP uploads and secure file transfer protocols are widely used for regulatory reporting.
Data Mapping Tools Graphical UIs or scriptable tools for mapping and transforming data fields.		No information available
Extensible Web Services SOAP/RESTful web services for custom integrations.		Web service integrations (REST, SOAP) are standard in multi-regime reporting tools.

Intuitive User Interface Accessible, clearly organized screens and workflows.		Trade repository and compliance reporting platforms prioritize usability for non-technical users.
Contextual Help and Guides Embedded instructions, tool-tips, and support for business processes.		No information available
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.		Vendor-managed upgrades and continuous compliance are described as benefits in REGIS-TR's offering.
24/7 Vendor Support Access to technical and regulatory experts at any time.		No information available
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.		No information available
Training & Onboarding Programs Comprehensive learning resources and workshops for new users.		No information available
Performance Monitoring Tools Dashboards for technical health and issue detection.		No information available
Multi-device Access Full functionality on desktop, tablet, and mobile devices.		Financial institution clients require multi-device (web, desktop, sometimes mobile) secured access.

REGIS-TR Regulatory Reporting from Abide Financial (now part of CME Group / REGIS-TR)

Product analysis by function

Regulatory Reporting Solutions for Compliance

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

Report Generation & Customization (4 Yes /4 Known /10 Possible features)

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

Compliance Rule Management (3 Yes /3 Known /10 Possible features)

User Access & Workflow Control (4 Yes /4 Known /10 Possible features)

Validation, Verification, and Reconciliation (6 Yes /6 Known /10 Possible features)

Audit, Logging & Traceability (3 Yes /3 Known /10 Possible features)

Security & Data Privacy (4 Yes /4 Known /10 Possible features)

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

Integration & Interoperability (7 Yes /7 Known /10 Possible features)

Usability, Support & Maintainability (3 Yes /3 Known /10 Possible features)