KAIZEN

Transform  regulatory reporting with multi-award winning assurance and shareholding disclosure services

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Kaizens reportShield™ services act as a shield against reporting issues, providing the controls you need to meet your regulatory obligations and manage your reporting risks.

ReportShield™ assurance services are tailored for a number of global trade and transaction reporting regimes, including SFTR, EMIR, MiFIR/MiFID II, Dodd-Frank and more.

Accuracy Testing

  • Checks all reported data fields for accuracy, validity and timeliness
  • Delivers full visibility of reporting quality
  • Identifies over-reporting
  • All reported records are tested for MiFID II transaction reporting
  • All open positions are tested for EMIR trade reporting
  • All activities relating to new SFTs and lifecycle events are tested for SFTR reporting
  • Accommodates high volumes, tailored to your firm’s business activities
  • For MiFIR, EMIR, DFA, SFTR, HKMA, ASIC and other G20 reporting regimes

Advanced Regulatory Reconciliation

  • Identifies mismatches of data (price, quantity, product difference etc) between your firm’s trading systems and what has been reported to the regulator
  • More comprehensive than standard reconciliations which do not typically check as far back as the trading system
  • All data sources reconciled and high volumes easily accommodated
  • Includes detailed management information and findings including reported and non-reported trades
  • For MiFIR, EMIR, DFA, SFTR, HKMA, ASIC and other G20 regulations

 

 

 

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Reference Data Testing

  • Executes a range of tests to counterparty and instrument reference data to check for both accuracy and completeness
  • Full population of reference data is tested for complete mappings to the appropriate identifiers
  • Assesses the use and allocation of internal identifiers
  • Normalises legal name and address
  • Real-time checking of Legal Entity Identifiers (LEIs)
  • For MiFIR, EMIR, DFA, SFTR, HKMA, ASIC and other G20 regulations.
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Regulatory Reporting Control Framework

  • A full governance framework and suite of policy and guidelines documentation
  • Covers governance, accountability and guidance for individuals involved in the reporting process and those responsible for regulatory oversight such as Senior Managers under the SMCR
  • Addresses control and governance issues identified in regulatory fines for incorrect reporting
  • Tailored to your business’s internal arrangements and reporting policies

 

Regulatory Reporting Core Training Courses

Training is an integral part of the systems and controls required for accurate reporting. Kaizens’ regulatory experts have developed half-day core training courses for EMIR, MiFIR and SFTR.

 

 

 

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Shareholding Disclosure Service

With 400+ rules across the globe that are constantly changing, it’s virtually impossible to stay on top of global shareholding disclosure requirements.

Relying on spreadsheets and other manual processes can lead to operational risks and fines for incorrect/late disclosures.