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SS&C Regulatory Solutions from SS&C Technologies
Comprehensive suite for regulatory reporting and compliance, including data management, report generation, and electronic filing. Supports global regulations like Basel III, Dodd-Frank, IFRS 9, MiFID II, and more.
Product analysis by function
Regulatory Reporting for Compliance
Systems for automating the preparation and submission of required regulatory reports to supervisory authorities.
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Data Integration & Extraction
(9 Yes /9 Known /10 Possible features)
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Multi-source Connectivity Ability to connect and pull data from diverse banking systems, databases, and third-party platforms. |
Marketed as supporting data consolidation from various internal and third-party systems. | |
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Automated Data Extraction Automates the extraction of required information based on configurable rules. |
Features include automated ingestion and extraction workflows; official collateral indicates robust automation. | |
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Data Normalization Standardizes and normalizes disparate data sets for uniform processing. |
Documentation highlights standardized reporting and normalization across formats for compliance. | |
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Real-time Data Sync Synchronizes data feeds in real time or near-real time. |
Describes real-time and near-time data synchronization for regulatory processes. | |
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Batch Data Processing Capacity Maximum volume of records that can be processed in a batch run. |
No information available | |
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Historical Data Import Allows bulk import and integration of historical data for retrospective reporting. |
Provides for onboarding of historical and legacy records as part of initial implementation. | |
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Custom Data Mapping Supports user-defined mapping of data fields from source to destination formats. |
Custom field mapping is mentioned as part of integration services and configuration. | |
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Error Logging and Handling Captures and manages data extraction and integration errors. |
Can log and flag integration errors, and provides exception management features. | |
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Data Lineage Tracking Tracks the origin and movement of data across the integration process. |
Data lineage and traceability included, important for regulated industries. | |
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API Support Provides APIs for integrating with external systems or tools. |
Offers APIs for partner and client integration with back-office or third-party systems. |
Report Generation and Customization
(10 Yes /10 Known /10 Possible features)
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Pre-built Report Templates Contains a library of standard regulatory reporting templates (e.g., Basel III, FATCA). |
Has libraries of standard regulatory reports (Basel, Dodd-Frank, EMIR, etc.). | |
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Custom Report Builder Allows users to design and build reports tailored to unique regulatory or internal requirements. |
Supports custom report creation and tailoring for region or bank-specific needs. | |
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Automated Report Scheduling Automatically generates and submits reports according to a configurable schedule. |
Enables automatic generation and submission of reports on a schedule; referenced in product workflows. | |
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Multi-format Export Supports export of reports in multiple formats (Excel, XML, XBRL, PDF, CSV). |
Reports exportable as Excel, XML, XBRL, CSV and PDF. Stated in documentation. | |
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Workflow Management Enables step-by-step workflow for report generation, review, and approval. |
Workflow support noted for reporting, review, approval. | |
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Report Preview Provides preview functionality before finalizing reports. |
Preview, validation and adjustment available before submission. | |
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Ad Hoc Reporting Enables quick generation of non-standard or urgent reports as needed. |
Ad hoc and urgent reporting supported, according to product sheet. | |
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Version Control Manages multiple versions of reports for audit and tracking. |
Manages historical versions of reports to ensure traceability. | |
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Bulk Report Generation Ability to generate numerous reports in a single operation. |
Bulk/batch reporting options referenced for high-volume clients. | |
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Digital Signatures Supports digital approval and e-signatures on reports. |
Digital signature/certification included for approvals. |
Regulatory Compliance Coverage
(9 Yes /9 Known /10 Possible features)
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Multi-jurisdictional Coverage Supports regulatory frameworks for multiple countries or regions. |
Supports frameworks in North America, EMEA, and APAC including Basel III, MiFID II, etc. | |
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Regulation Library Maintains an up-to-date library of regulatory rules and guidelines. |
Product includes a regulatory content library updated regularly. | |
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Automatic Regulatory Updates Automatically updates compliance logic as regulatory requirements change. |
Service includes ongoing updates for regulatory logic. | |
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Cross-regulation Consistency Checks Checks for inconsistencies or conflicts among various regulations. |
Cross-regulatory checks included per product materials. | |
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Custom Compliance Rules Allows users to input and manage custom regulatory rules. |
Allows configuration of custom compliance logics and exception rules. | |
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Compliance Deadline Reminders Notifies users of upcoming regulatory reporting deadlines. |
Integral to regulatory reporting: alerts for upcoming and missed deadlines. | |
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Rule Version History Tracks the history and changes of regulatory rules over time. |
Tracks regulatory rule and compliance versions, part of core audit features. | |
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Deficiency Alerts Notifies users about non-compliance or missing elements. |
System alerts for missing or noncompliant reports documented. | |
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Scenario Simulation Allows users to test the impact of regulatory changes before implementation. |
Scenario and 'sandbox' environments available for regulatory impact assessment. | |
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Peer Benchmarking Compares compliance status and metrics with industry peers. |
No information available |
Data Quality & Validation
(8 Yes /8 Known /10 Possible features)
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Automated Data Validation Checks for missing, incorrect, or outlier data values during data processing. |
Automated validation and control checks are core components. | |
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Duplicate Detection Identifies and flags duplicate records before submission. |
Built-in duplicate and data quality checks referenced. | |
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Validation Rule Library Provides built-in and customizable validation rules. |
Includes library of validation rules and user customization. | |
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Error Correction Workflow Facilitates identification and remediation of data errors. |
Built-in workflows assist with error remediation and data cleansing. | |
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Audit Trail for Corrections Tracks data corrections for transparency and governance. |
Tracks all data corrections with approval/audit trail for transparency. | |
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Field-level Validation Logging Records validation status at the granular field level. |
Logs all field-level validation status for compliance evidence (SOC2 audit trace). | |
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Data Completeness Ratio Ratio of fields populated to total fields required. |
No information available | |
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Threshold-based Alerts Sends alerts if data quality falls below predefined thresholds. |
Threshold and data quality alerts part of QA process. | |
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Validation Processing Speed Time taken to complete validation of typical data batch. |
No information available | |
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User-defined Exception Rules Allows users to define exceptions for validation checks. |
Custom exception logic for validation supported by platform. |
Automation & Workflow Management
(8 Yes /8 Known /10 Possible features)
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End-to-end Automation Automates the full reporting lifecycle from data extraction to report submission. |
Advertised as 'end-to-end', automating all steps from ingestion to reporting. | |
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Task Assignment Assigns roles and responsibilities to different users within the workflow. |
Role-based workflows and task assignments referenced in documentation. | |
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Approval Hierarchies Supports customizable multi-level approvals for reports. |
Supports multi-level reviews and approvals (risk, compliance, final). | |
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Workflow Visualization Provides graphical representation of reporting workflows. |
Workflows visual and tracked in user interface. | |
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SLA Monitoring Tracks workflow completion against service level agreements. |
SLAs and workflow times can be tracked via management dashboard. | |
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Batched or Parallel Processing Supports both sequential and parallel workflow processing. |
Supports both sequential/batch and parallel processing configuration. | |
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Alert Notifications Sends alerts for workflow bottlenecks or overdue tasks. |
Workflow alert capability referenced, including exceptions and bottlenecks. | |
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Automatic Escalation Escalates unresolved workflow items according to defined rules. |
Automatic escalation supported for overdue or unresolved tasks. | |
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Task Completion Time Average time required to complete a workflow task. |
No information available | |
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Integration with Task Management Tools Connects with external project management or collaboration tools. |
No information available |
Security & Access Control
(9 Yes /9 Known /10 Possible features)
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Role-based Access Control (RBAC) Grants permissions based on defined user roles in the organization. |
RBAC cited as core to security and compliance. | |
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Data Encryption (at rest and in transit) Encrypts sensitive data when stored and during data transmission. |
Encrypts all customer data in transit and at rest (SOC2 information). | |
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Multi-factor Authentication Requires more than one form of verification before granting access. |
Multi-factor authentication can be implemented according to deployment best practices. | |
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Audit Logging Tracks user activity and system access for security monitoring. |
Full audit logging for user activity and system events. | |
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Granular Permission Control Allows fine-tuned user permissions down to field or function level. |
Granular level permission assignment available for user groups. | |
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Single Sign-On (SSO) Integrates with institutional authentication solutions. |
Single sign-on is supported for enterprise clients. | |
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Access Log Retention Period Duration for which access logs are retained. |
No information available | |
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Data Masking Masks sensitive information in views and exports as appropriate. |
Can mask sensitive data in views/exports. | |
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Compliance with Industry Standards Adheres to ISO 27001, SOC 2, GDPR, or equivalent standards. |
Mentions ISO 27001, SOC2, and GDPR compliance. | |
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Anomaly Detection Identifies unusual patterns of access or use. |
Solution built to detect abnormal behavior as part of security. |
Audit & Traceability
(9 Yes /9 Known /10 Possible features)
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Full Audit Trail Each action is logged with timestamp, user, and before/after values. |
Each user/system action is logged with complete audit info. | |
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Change Management Logging Tracks changes to data, reports, rules, and configurations. |
Change management and configuration audit trail included. | |
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Printable Audit Logs Supports exporting or printing audit logs for regulators. |
Supports exporting/printing audit logs for auditors. | |
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Audit Log Search Comprehensive search and filtering within audit trails. |
Search/filter available within audit logs in user interface. | |
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Retention Period Customization Allows setting custom data and log retention periods. |
Retention policies for data and logs are configurable. | |
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Tamper-evidence Logs are protected against unauthorized alteration. |
Uses tamper-evident audit logs to preserve compliance evidence. | |
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Drill-down Capability Allows auditors to investigate from high-level activity down to granular changes. |
Auditors can drill down from summaries to detailed record changes. | |
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Exception Audit Reports Generates audit reports of exceptions and anomalies. |
Can produce exception and anomaly audit reports for compliance checks. | |
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Reviewer Comments Tracking Keeps a record of comments and notes added during review or approval. |
Tracks commentary and notes through workflows and approvals. | |
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Time to Retrieve Audit Record Average time needed to retrieve a specific log entry. |
No information available |
Scalability & Performance
(5 Yes /5 Known /10 Possible features)
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Concurrent User Capacity Maximum number of users the system can support simultaneously. |
No information available | |
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Peak Data Volume Largest volume of data handled during peak reporting cycles. |
No information available | |
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Load Balancing Distributes processing workload for optimal performance. |
Multi-tenant and enterprise-grade; vendor highlights load balancing for performance guarantee. | |
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Uptime Guarantee Service level uptime commitment by the vendor. |
No information available | |
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Elastic Resource Allocation Ability to automatically allocate system resources based on current demand. |
Cloud deployment supports elastic scaling and dynamic resource allocation. | |
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Disaster Recovery Support Ensures system availability in the event of failures or disasters. |
Offers disaster recovery and BCP as part of cloud/hosted solutions. | |
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Response Time Average application response latency under normal load. |
No information available | |
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Data Archival Capacity Volume of data archived and retrievable for regulatory retention. |
No information available | |
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Geographic Load Distribution Option to distribute workload across global data centers. |
Global infrastructure for cloud deployment and regional hosting. | |
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On-demand Scalability Scaling system resources up or down without disrupting operations. |
Advertised as allowing live scale-up/down based on client needs. |
User Experience & Usability
(7 Yes /7 Known /10 Possible features)
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Intuitive User Interface Easy-to-navigate and logically designed screens and menus. |
UI marketed as intuitive with client-specific customization. | |
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Customizable Dashboards Allows users to personalize their reporting and compliance dashboards. |
Customizable dashboards offered for risk, compliance, and management users. | |
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Guided Workflows Provides step-by-step guidance through reporting tasks. |
Workflow automation guides users through report creation and submission. | |
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Accessibility Compliance Supports accessibility features for users with disabilities. |
No information available | |
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In-app Help and Documentation Embedded tips, tutorials, and documentation for user assistance. |
In-app help and documentation embedded within the product. | |
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Multi-language Support Interface available in multiple languages. |
No information available | |
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Mobile Compatibility Supports access and reporting from mobile devices. |
Mobile access is available for report review/approval. | |
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Keyboard Shortcuts Enables efficiency for power users with keyboard commands. |
No information available | |
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Bulk Actions Allows users to perform operations on multiple records or reports at once. |
Can perform bulk actions and mass updates as needed. | |
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Onboarding & Training Tools Built-in wizards or modules to onboard new users with minimal friction. |
Onboarding and training modules included for enterprise clients. |
Analytics & Business Intelligence
(8 Yes /8 Known /10 Possible features)
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Pre-built Analytical Reports Out-of-the-box analytics dashboards for common compliance metrics. |
Standard dashboard/report templates for common compliance metrics out-of-the-box. | |
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Custom Analytics Designer Allows creation of bespoke analytical and visualization reports. |
Supports custom visualizations/analytics report creation. | |
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Drill-down Analysis Enables users to explore higher or lower levels of detail as desired. |
Drill-down from dashboards to granular report detail is supported. | |
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Trend Analysis Identifies and visualizes long-term trends in regulatory or compliance data. |
Trend and historical reporting accessible through dashboard analytics. | |
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KPI Tracking Tracks and visualizes key compliance and reporting performance indicators. |
KPIs for compliance and reporting included in the platform metrics. | |
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Data Export for Analytics Exports raw or aggregated data for external analysis. |
Data can be exported in raw or processed form for additional analytics. | |
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What-if Scenario Modeling Simulates regulatory/reporting scenarios and their impact. |
Scenario modeling built in to test impact of regulatory changes. | |
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Dashboard Refresh Rate Frequency at which analytics dashboards are updated. |
No information available | |
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Third-party BI Tool Integration Connects to tools such as Tableau, PowerBI, or Qlik for advanced analytics. |
Connectors available for Tableau, PowerBI, etc. | |
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Forecasting/Prediction Capabilities Leverages historical data to predict upcoming compliance issues. |
No information available |
Support, Maintenance & Vendor Management
(9 Yes /9 Known /10 Possible features)
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24/7 Support Availability Support team available round-the-clock for issue resolution. |
Global client base—support offered 24/7 for issue resolution. | |
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Dedicated Account Manager Provides a single point of contact at the vendor. |
A dedicated account manager is included for enterprise clients. | |
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SLA-based Issue Resolution Guaranteed response and resolution times as per SLA. |
SLA-based incident and problem management offered. | |
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Self-service Knowledge Base Online resources for common troubleshooting and FAQs. |
User-facing knowledge base for product and regulatory FAQs. | |
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Product Update Frequency Average frequency of major product updates or patches. |
No information available | |
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Onsite/Remote Training Options Comprehensive product training for users and administrators. |
Provides both in-person and remote training offerings. | |
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Custom SLAs Can tailor SLAs to client-specific needs. |
SS&C offers custom SLA negotiations for certain clients. | |
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Third-party Audit Support Assistance during regulatory or independent audits. |
Vendor provides audit support as part of client contractual engagement. | |
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User Community and Forums Access to peer support and shared best practices. |
Community forums available for peer/client engagement. | |
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API Documentation and Developer Support Comprehensive resources for integrating or extending the platform. |
API documentation/developer support available for integration partners. |
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