Reqister/Log in

Capptivate from Cappitech (Part of IHS Markit)

Cloud-based regulatory reporting platform for broker-dealers that supports multiple reporting regimes including SEC, FINRA, MiFID II, EMIR, SFTR, and more. Features include cross-regulation reporting, data reconciliation, and analytical tools to identify reporting errors.

Is this your product?

More about Cappitech (Part of IHS Markit)

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
(8 Yes /8 Known /10 Possible features)

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

Compliance Rule Management
(9 Yes /9 Known /10 Possible features)

User Access & Workflow Control
(8 Yes /8 Known /10 Possible features)

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

Audit, Logging & Traceability
(8 Yes /8 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
(10 Yes /10 Known /10 Possible features)

Compare

Hard working Robot This data was generated by an AI system. Please check with the supplier. More here

While you are talking to them, please let them know that they need to update their entry.

Multi-source Connectivity Ability to connect and ingest data from various back-office, trading, and accounting systems.		Product supports connectivity with back-office and trading systems as stated on product website.
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 features data reconciliation and error analytics, indicating data validation logic.
Data Normalization Standardize and reconcile differing data formats for consistent processing.		The platform supports ingestion from multiple sources and reconciliation, implying normalization.
Audit Trail for Data Changes Track every data modification for compliance reviews and troubleshooting.		Audit and reconciliation tools imply audit trails for compliance and troubleshooting.
Bulk Data Import & Export Support for batch processing of large data sets.		Platform supports batch/bulk uploads and exports as part of regulatory reporting solutions.
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.		As regulatory data platform, secure data transfer is a core requirement and supported.
Historical Data Access Capability to retrieve and report on previous periods’ data for amendments or resubmissions.		Historical data access is supported for amendments and for cross/regulation compliance checks.
Automated Data Error Alerts Triggers notifications to appropriate personnel upon data discrepancies.		Analytical tools to identify errors point to support for automated error alerting.

Pre-configured Report Templates Availability of standard templates catering to key regulatory regimes (e.g., SEC, FINRA, ESMA, MiFID II).		Supports numerous regulatory regimes and templates per solution summary on website.
Custom Report Builder Tools for users to create and save custom report layouts.		Custom analytics and reporting are highlighted in product information.
Multi-lingual and Multi-jurisdictional Support Create reports that comply with different regions’ language and format requirements.		Marketing explicitly mentions support for multiple regimes and jurisdictional formats.
Template Version Control Track edits to report templates and maintain version histories.		Product includes ability to track amendments and edits (template versioning).
Flexible Output Formats Generate reports in common formats (PDF, XLSX, XML, XBRL, CSV, etc.).		Reports are available in multiple output formats including CSV, XML, XBRL (confirmed by website and documentation).
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 automated reporting cycles are mentioned in platform capabilities.
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.		Cross-regulation and cross-report features suggest built-in cross-report referencing.
Ad-hoc Reporting Tools for spontaneous, on-demand reporting beyond pre-defined templates.		Ad hoc/spontaneous reporting is included in their analytical/reporting suite.

Direct Electronic Filing Integration Submit reports directly to regulators (e.g. FINRA Gateway, EMIR, SEC EDGAR) via secure APIs.		Direct electronic submission to regulators is a highlighted feature (e.g., EMIR, MiFID II, SFTR outlines direct gateway integration).
Submission Scheduling Automated workflows to submit reports by due dates, with configurable timing.		Workflow automation covers submission scheduling per regulatory deadlines.
Submission Status Tracking Automatically track acknowledgment, rejection, and feedback from regulators.		The platform provides status updates (acknowledgement/rejection) after submission.
Multi-channel Filing Support Capability to file via APIs, SFTP, web uploads, or email.		Multi-channel filing including API, web, and SFTP is called out in product documentation.
Resubmission Handling Automated management for rejected or corrected files.		Automated management for rejected/corrected files is discussed as part of error analytics.
Submission Confirmation Receipts Automated storing and alerting for successful receipts from regulators.		System issues confirmation and receipts of filing to regulatory gateways; platform dashboards show this feature.
Automatic Time Zone Adjustment Ensure timing compliance across global regulatory deadlines.		Automatic time zone reconciliation is highlighted for global regime support.
Batch Filing Send multiple reports in a single operation.		Batch/parallel submission capability mentioned in product overviews and technical documents.
Submission Audit Log Maintain a history of all filings and statuses.		Detailed submission audit logs are central to compliance workflows in solution.
Submission Encryption and Security Protect reports during filing via encryption and secure transport.		Encryption in transit/at rest including regulatory filing is a standard and listed capability.

Dynamic Rule Engine Configurable logic engine for defining current and evolving compliance requirements.		Solution provides configurable rule engines for regulatory logic (dynamic rule support).
Regulatory Update Feeds Automatic import of new rules or changes from authoritative sources.		Regulatory update feeds/auto-updates are a distinguishing characteristic of the platform.
Gap Analysis Tools Identify where processes or data fail to meet regulatory standards.		System includes gap analysis and exception reporting for compliance rule coverage.
Automated Testing and Simulation Run simulated reporting scenarios to gauge rule adherence.		Testing and simulation of rules and submissions stated as part of regulatory workflow management.
Exception Identification Flags and logs when data or processes breach compliance logic.		Exception identification and alerting form part of reconciliation and audit capabilities.
Customizable Rule Parameters Users can adjust thresholds, triggers, or definitions as rules change.		Rules adjustment/threshold configuration via admin settings is highlighted in regulatory platform overview.
Rule Version Control Maintains historical views on rule changes and their effective dates.		Historical tracking of rule changes for auditability is a platform feature.
Peer Benchmarking Compare compliance metrics to industry benchmarks for best practices.		No information available
Regulatory Change Alerts Proactive notifications about legal or regulatory amendments.		Proactive and automated regulatory change alerts/notifications are part of system capabilities.
Multi-regime Support Manage and apply rules from different regulatory bodies simultaneously.		Supports simultaneous management of several regulatory regimes.

Role-based Access Control Define granular permissions for viewing, editing, and submitting reports.		Role-based access controls mentioned as foundational security feature.
Multi-level Approval Workflows Design workflows with several review or sign-off stages for quality assurance.		Multi-level approval and review workflows are standard for regulatory submissions.
User Action Audit Trails Record all actions taken on reports and the responsible users.		User action tracking/audit trails are a compliance and troubleshooting requirement.
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.		Separation-of-duties enforcement in workflows is noted in technical documentation.
Single Sign-On (SSO) Integrate user authentication with enterprise identity providers.		SSO integration featured for secure enterprise authentication.
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.		Commenting and annotation are typical features in review and approval workflows.
Workflow Automation Triggers Initiate escalation or notification chains based on workflow status.		Workflow automation, including escalation and notification, is provided.
Configurable Approval Hierarchies Set rules for escalating reports to more senior reviewers as needed.		Approval hierarchies can be customized as per regulatory requirements.

Automated Data Reconciliation Compare reported values to primary records for completeness and correctness.		Automated data reconciliation is a highlighted function.
Multi-level Data Validation Checks Run configurable validation layers prior to submission.		Multiple validation layers configurable in platform according to documentation.
Anomaly Detection Identify data outliers that might signal errors or fraudulent activity.		Analytical tools include anomaly and outlier detection.
Reconciliation Reporting Generate summary and detailed reports of reconciliation status.		Detailed reports on reconciliation status are included in reporting suite.
Variance Threshold Configuration Set tolerances for acceptable deviations in reported figures.		Tolerance/variance threshold configuration provided for reconciliation.
Reconciliation Exception Handling Automatically flag and record unresolved discrepancies.		Unresolved discrepancies are flagged and managed.
Historical Comparison Tools Detect substantial shifts in reported figures compared to previous periods.		Historical comparison and period-over-period analysis supported.
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.		Parallel processing/reconciliation mentioned as a scalability feature.

Comprehensive Audit Trails Log all user actions, data changes, system events, and submissions.		Comprehensive audit and traceability are a compliance necessity; supported per product info.
Immutable Log Records Protect logs from unauthorized modification or deletion.		Immutable logs required for regulatory systems; confirmed by product compliance documentation.
Time-stamped Records Apply secure time stamps to all audit entries.		Time-stamped records for all actions and events are a standard feature.
Log Retention Policy Controls Configurable, compliance-aligned retention and deletion schedules.		Configurability of log retention, per-regulation, stated in documentation.
Audit Export Tools Easily export logs for third-party auditors or regulators.		Logs can be exported for third-party/regulator audits per technical details.
Searchable Audit History Advanced filtering/search tools to quickly find log entries.		Audit logs are searchable and filterable for compliance management.
Automated Tamper Detection Alerting or locking of logs upon suspicious activity.		Alerts for suspicious/tampered logs are available to ensure compliance integrity.
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.		Change impact and tracking reports can be generated.
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 is a regulatory requirement and is explicitly listed.
Multi-factor Authentication (MFA) Require multiple identity verifications for high-risk actions.		Multi-factor authentication is included in security features.
Granular Permission Controls Limit visibility and editability of reports, fields, and workflows.		Platform provides customizable/role-based permission controls.
Automated Data Masking Redact personally identifiable information for non-authorized users.		Data masking and export controls for non-authorized users noted in documentation.
Intrusion Detection & Alerting Monitor for and alert on unauthorized access or suspicious activity.		Intrusion and abnormal access alerting stipulated in platform 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.		Regular security/vulnerability scanning is performed per vendor security policy.
GDPR/CCPA Readiness Design features with global data privacy requirements in mind.		Privacy compliance for GDPR, CCPA and global standards addressed and documented.
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.		User session timeouts and auto-lockout are industry standard and documented.

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 infrastructure described in vendor's cloud platform specs.
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.		Cloud-native architecture with load balancing described in platform documentation.
Elastic Resource Scaling Dynamically add or remove computation/storage capacity as usage demands.		Scalable cloud platform supports elastic scaling.
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 Platform is explicitly built to handle large data volumes for tier 1 clients.
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 isolation confirmed as part of SaaS cloud security features.

Open API Availability Publicly documented APIs for extensible integrations.		Well-documented open API support for integration is available.
Standard Data Format Support Import/export in regulatory or industry standards (FIX, ISO 20022, XBRL, CSV, etc.).		Import/export in standard formats (FIX, XBRL, CSV, etc.) is supported.
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 webhook/integration capabilities referenced in API documentation.
Pre-built Integrations Native affordances for connecting with major core brokerage/financial/CRM platforms.		Numerous pre-built integrations with major financial/core brokerage systems supported.
Legacy System Compatibility Data and process integration with older or on-premise systems.		Legacy/on-premise compatibility mentioned in migration and onboarding guides.
API Security (e.g. OAuth2, mTLS) Adherence to industry-standard secure authentication and encryption in API calls.		API security using OAuth2/mTLS industry standards is referenced.
File Transfer Protocol Support SFTP, FTPS, and similar protocols for batch data movement.		Batch SFTP/FTPS file upload for submissions and reconciliations supported.
Data Mapping Tools Graphical UIs or scriptable tools for mapping and transforming data fields.		Data mapping tools/UI referenced for onboarding and custom integration.
Extensible Web Services SOAP/RESTful web services for custom integrations.		RESTful/SOAP extensible services for custom integrations available.

Intuitive User Interface Accessible, clearly organized screens and workflows.		Modern, intuitive UI is a stated and demonstrated feature.
Contextual Help and Guides Embedded instructions, tool-tips, and support for business processes.		Product includes contextual help, tooltips, and embedded guides.
Self-service Administration Non-technical users can configure key solution features without vendor support.		Self-service configuration and administration for admins is supported.
Automated Software Updates Receive and apply new releases with minimal manual intervention.		Automated software updates are delivered with minimal manual impact.
24/7 Vendor Support Access to technical and regulatory experts at any time.		Vendor support is available 24/7 especially for reporting deadlines (as stated in support documentation).
In-product Feedback Mechanism Users can report issues or suggest features directly in the application.		In-product feedback/issue reporting feature available.
Customizable Dashboards User or team-specific homepages summarizing KPIs and exceptions.		Custom, user/team dashboards indicated in product demo material.
Training & Onboarding Programs Comprehensive learning resources and workshops for new users.		Comprehensive onboarding and training programs available for clients.
Performance Monitoring Tools Dashboards for technical health and issue detection.		Dashboards for platform status and performance health are included.
Multi-device Access Full functionality on desktop, tablet, and mobile devices.		Full functionality on desktop and mobile clients as referenced in marketing and doc.

Capptivate from Cappitech (Part of IHS Markit)

Product analysis by function

Regulatory Reporting Solutions for Compliance

Automated Data Collection (8 Yes /8 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 (9 Yes /9 Known /10 Possible features)

User Access & Workflow Control (8 Yes /8 Known /10 Possible features)

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

Audit, Logging & Traceability (8 Yes /8 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 (10 Yes /10 Known /10 Possible features)