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SteelEye Regulatory Reporting from SteelEye

End-to-end regulatory reporting solution for broker-dealers, offering transaction reporting, trade reconstruction, and analytics. Supports SEC, FINRA, and global regulatory reporting through automated data capture, normalization, and submission.

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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
(7 Yes /7 Known /10 Possible features)

Report Generation & Customization
(8 Yes /8 Known /10 Possible features)

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

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

User Access & Workflow Control
(6 Yes /6 Known /10 Possible features)

Validation, Verification, and Reconciliation
(8 Yes /8 Known /10 Possible features)

Audit, Logging & Traceability
(7 Yes /7 Known /10 Possible features)

Security & Data Privacy
(6 Yes /6 Known /10 Possible features)

Scalability, Performance & Availability
(4 Yes /4 Known /10 Possible features)

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

Usability, Support & Maintainability
(10 Yes /10 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.		SteelEye advertises automated data capture across multiple back-office, trading, and accounting systems, indicating strong 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.		Data validation and normalization are core platform features described on SteelEye’s product and solution pages.
Data Normalization Standardize and reconcile differing data formats for consistent processing.		The product markets automated normalization and reconciliation of data from disparate sources.
Audit Trail for Data Changes Track every data modification for compliance reviews and troubleshooting.		SteelEye provides audit trails for all regulatory data, as required for compliance.
Bulk Data Import & Export Support for batch processing of large data sets.		Bulk data ingestion/manual and automated batch processing are documented.
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.		SteelEye describes secure data transfer and encryption (in transit and at rest) as standard.
Historical Data Access Capability to retrieve and report on previous periods’ data for amendments or resubmissions.		Historical record keeping and evidence are highlighted features for regulatory amendments.
Automated Data Error Alerts Triggers notifications to appropriate personnel upon data discrepancies.		No information available

Pre-configured Report Templates Availability of standard templates catering to key regulatory regimes (e.g., SEC, FINRA, ESMA, MiFID II).		Pre-configured regulatory templates for SEC, FINRA, MiFID II, EMIR and more are a key selling point.
Custom Report Builder Tools for users to create and save custom report layouts.		Custom report building and ad hoc query capability is offered to users.
Multi-lingual and Multi-jurisdictional Support Create reports that comply with different regions’ language and format requirements.		Multi-jurisdiction support is included, supporting different regulatory standards and languages.
Template Version Control Track edits to report templates and maintain version histories.		Version control for templates is described in SteelEye documentation.
Flexible Output Formats Generate reports in common formats (PDF, XLSX, XML, XBRL, CSV, etc.).		SteelEye offers PDF, CSV, XLSX, XML, and XBRL exports per product detail.
Built-in Documentation Guidance Inline links to regulatory rulebooks and context-sensitive help.		Contextual help and regulatory reference links are provided within the reporting suite.
Scheduled Report Generation Support for automating recurring report creation on a fixed schedule.		Supports automated/scheduled report creation for recurring compliance tasks.
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.		Ad-hoc reporting is a documented function, supporting spontaneous queries.

Direct Electronic Filing Integration Submit reports directly to regulators (e.g. FINRA Gateway, EMIR, SEC EDGAR) via secure APIs.		Direct API-based filing with major regulators such as SEC, FINRA, ESMA, FCA is listed as core capability.
Submission Scheduling Automated workflows to submit reports by due dates, with configurable timing.		Automated scheduling for regulatory submissions is available in the workflow engine.
Submission Status Tracking Automatically track acknowledgment, rejection, and feedback from regulators.		Submission tracking (ack/NAK) and dashboards for submission statuses are featured.
Multi-channel Filing Support Capability to file via APIs, SFTP, web uploads, or email.		Supports filing via API, SFTP, Web upload or email per technical docs.
Resubmission Handling Automated management for rejected or corrected files.		Resubmission workflows for amendments and corrections are supported.
Submission Confirmation Receipts Automated storing and alerting for successful receipts from regulators.		Receipt generation and notification for successful regulatory submissions.
Automatic Time Zone Adjustment Ensure timing compliance across global regulatory deadlines.		Handles cross-timezone regulatory deadlines with built-in time zone support.
Batch Filing Send multiple reports in a single operation.		Batch reporting/filing is referenced for clients with high trade volumes.
Submission Audit Log Maintain a history of all filings and statuses.		All filings and their historical status are maintained in audit logs.
Submission Encryption and Security Protect reports during filing via encryption and secure transport.		All submissions are encrypted and use secure transport protocols.

Dynamic Rule Engine Configurable logic engine for defining current and evolving compliance requirements.		SteelEye advertises configurable rule engines for compliance logic.
Regulatory Update Feeds Automatic import of new rules or changes from authoritative sources.		Regulatory rules are updated via integrated feeds from authoritative sources (e.g. FCA, ESMA, SEC).
Gap Analysis Tools Identify where processes or data fail to meet regulatory standards.		Gap analysis and remediation recommendations are included.
Automated Testing and Simulation Run simulated reporting scenarios to gauge rule adherence.		Supports testing and simulation of scenarios against regulatory rules.
Exception Identification Flags and logs when data or processes breach compliance logic.		Exception logging and notifications are part of compliance management.
Customizable Rule Parameters Users can adjust thresholds, triggers, or definitions as rules change.		Rules can be tailored and thresholds edited by compliance staff.
Rule Version Control Maintains historical views on rule changes and their effective dates.		Rule changes are versioned and historical context preserved.
Peer Benchmarking Compare compliance metrics to industry benchmarks for best practices.		Peer benchmarking against industry norms is available in analytics suite.
Regulatory Change Alerts Proactive notifications about legal or regulatory amendments.		SteelEye provides regulatory change alerts as part of their rule update service.
Multi-regime Support Manage and apply rules from different regulatory bodies simultaneously.		SteelEye supports multi-regulator and multi-regime compliance.

Role-based Access Control Define granular permissions for viewing, editing, and submitting reports.		Role-based permissions and least-privilege access are described in platform admin documentation.
Multi-level Approval Workflows Design workflows with several review or sign-off stages for quality assurance.		Multi-step approval and sign-off workflows are provided.
User Action Audit Trails Record all actions taken on reports and the responsible users.		User action audit trails are a compliance and platform functionality.
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.		SteelEye integrates with enterprise SSO providers as stated in technical documentation.
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.		Collaborative commenting and annotation is available for report reviewing.
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.		Approval hierarchies and escalation chains are configurable.

Automated Data Reconciliation Compare reported values to primary records for completeness and correctness.		Automated data reconciliation integrates internal and external source comparison.
Multi-level Data Validation Checks Run configurable validation layers prior to submission.		Layered data validation, including pre-submission logic, is described in the documentation.
Anomaly Detection Identify data outliers that might signal errors or fraudulent activity.		Automated anomaly detection is a part of the error and exceptions suite.
Reconciliation Reporting Generate summary and detailed reports of reconciliation status.		Reconciliation summary and detailed exception reports can be generated.
Variance Threshold Configuration Set tolerances for acceptable deviations in reported figures.		Deviation thresholds for reconciliation can be configured in admin UI.
Reconciliation Exception Handling Automatically flag and record unresolved discrepancies.		Exception management including flagging and workflow assignment documented.
Historical Comparison Tools Detect substantial shifts in reported figures compared to previous periods.		Analytics allows for historical comparison of all regulatory datasets.
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.		High-throughput and parallel processing are explicitly mentioned for large clients.

Comprehensive Audit Trails Log all user actions, data changes, system events, and submissions.		Comprehensive activity, data, and change logs are a key compliance feature.
Immutable Log Records Protect logs from unauthorized modification or deletion.		Immutable logs and tamper protection is cited in SteelEye’s audit solutions.
Time-stamped Records Apply secure time stamps to all audit entries.		All log records are time-stamped and audit-friendly.
Log Retention Policy Controls Configurable, compliance-aligned retention and deletion schedules.		Retention and deletion policies can be configured to meet compliance.
Audit Export Tools Easily export logs for third-party auditors or regulators.		Audit trail export for third-party/auditors is available.
Searchable Audit History Advanced filtering/search tools to quickly find log entries.		Audit logs feature search/filter for efficient investigation.
Automated Tamper Detection Alerting or locking of logs upon suspicious activity.		Tamper detection and alerting is incorporated.
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.		Encrypts data at rest and in transit per compliance standards and certifications.
Multi-factor Authentication (MFA) Require multiple identity verifications for high-risk actions.		MFA for user and role-based access to sensitive submission or approval workflows.
Granular Permission Controls Limit visibility and editability of reports, fields, and workflows.		Feature-level and field-level user controls are documented.
Automated Data Masking Redact personally identifiable information for non-authorized users.		PII masking and restriction is built-in to prevent data leakage.
Intrusion Detection & Alerting Monitor for and alert on unauthorized access or suspicious activity.		Intrusion detection and alerting is referenced in security documentation.
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.		SteelEye advertises GDPR readiness and support for global data privacy.
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.		High availability and instant failover are documented to meet regulatory uptime requirements.
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.		The infrastructure is described as load balanced for scalability.
Elastic Resource Scaling Dynamically add or remove computation/storage capacity as usage demands.		Platform runs in scalable cloud, adding resources as data volumes require.
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.		No information available
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.		Multi-tenant cloud deployment with strict tenant isolation described in SaaS overview.

Open API Availability Publicly documented APIs for extensible integrations.		APIs are available for integrations, publicly documented.
Standard Data Format Support Import/export in regulatory or industry standards (FIX, ISO 20022, XBRL, CSV, etc.).		Standard format import/export (FIX, XBRL, CSV, XML, etc.) is listed.
Plug-in Architecture Add new modules with minimal development effort.		No information available
Outbound Webhook Support Trigger external workflows or third-party downstream systems.		Outbound webhooks trigger workflows and alerts to downstream systems.
Pre-built Integrations Native affordances for connecting with major core brokerage/financial/CRM platforms.		Pre-built integrations with major financial platforms and CRMs are mentioned.
Legacy System Compatibility Data and process integration with older or on-premise systems.		Legacy/on-premise and cloud systems are both supported according to solution descriptions.
API Security (e.g. OAuth2, mTLS) Adherence to industry-standard secure authentication and encryption in API calls.		API security standards including mTLS, OAuth are called out in technical and compliance documentation.
File Transfer Protocol Support SFTP, FTPS, and similar protocols for batch data movement.		SFTP and other secure file transfer protocols are documented and supported.
Data Mapping Tools Graphical UIs or scriptable tools for mapping and transforming data fields.		Graphical and scriptable data mapping is part of onboarding and integration processes.
Extensible Web Services SOAP/RESTful web services for custom integrations.		SteelEye’s API suite includes RESTful services for custom integrations.

Intuitive User Interface Accessible, clearly organized screens and workflows.		Modern, intuitive user interface highlighted in product tours and demos.
Contextual Help and Guides Embedded instructions, tool-tips, and support for business processes.		Contextual, embedded user guidance and process documentation provided.
Self-service Administration Non-technical users can configure key solution features without vendor support.		Self-service configuration without IT involvement is documented.
Automated Software Updates Receive and apply new releases with minimal manual intervention.		Updates are automatic with user notification.
24/7 Vendor Support Access to technical and regulatory experts at any time.		SteelEye provides 24/7 support for both technical and regulatory queries.
In-product Feedback Mechanism Users can report issues or suggest features directly in the application.		In-product feedback and issue reporting are built-in.
Customizable Dashboards User or team-specific homepages summarizing KPIs and exceptions.		Customizable dashboards offered for compliance teams and executives.
Training & Onboarding Programs Comprehensive learning resources and workshops for new users.		Onboarding training and ongoing education referenced in the implementation plan.
Performance Monitoring Tools Dashboards for technical health and issue detection.		Performance dashboard and system health monitoring are available.
Multi-device Access Full functionality on desktop, tablet, and mobile devices.		Supports cross-device (desktop, tablet, mobile) functionality as listed on product site.

SteelEye Regulatory Reporting from SteelEye

Product analysis by function

Regulatory Reporting Solutions for Compliance

Automated Data Collection (7 Yes /7 Known /10 Possible features)

Report Generation & Customization (8 Yes /8 Known /10 Possible features)

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

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

User Access & Workflow Control (6 Yes /6 Known /10 Possible features)

Validation, Verification, and Reconciliation (8 Yes /8 Known /10 Possible features)

Audit, Logging & Traceability (7 Yes /7 Known /10 Possible features)

Security & Data Privacy (6 Yes /6 Known /10 Possible features)

Scalability, Performance & Availability (4 Yes /4 Known /10 Possible features)

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

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