KAIZENTransform regulatory reporting with multi-award winning assurance and shareholding disclosure services DB+ 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 TestingChecks all reported data fields for accuracy, validity and timelinessDelivers full visibility of reporting qualityIdentifies over-reportingAll reported records are tested for MiFID II transaction reportingAll open positions are tested for EMIR trade reportingAll activities relating to new SFTs and lifecycle events are tested for SFTR reportingAccommodates high volumes, tailored to your firm’s business activitiesFor MiFIR, EMIR, DFA, SFTR, HKMA, ASIC and other G20 reporting regimes Advanced Regulatory ReconciliationIdentifies mismatches of data (price, quantity, product difference etc) between your firm’s trading systems and what has been reported to the regulatorMore comprehensive than standard reconciliations which do not typically check as far back as the trading systemAll data sources reconciled and high volumes easily accommodatedIncludes detailed management information and findings including reported and non-reported tradesFor MiFIR, EMIR, DFA, SFTR, HKMA, ASIC and other G20 regulations lReference Data TestingExecutes a range of tests to counterparty and instrument reference data to check for both accuracy and completenessFull population of reference data is tested for complete mappings to the appropriate identifiersAssesses the use and allocation of internal identifiersNormalises legal name and addressReal-time checking of Legal Entity Identifiers (LEIs)For MiFIR, EMIR, DFA, SFTR, HKMA, ASIC and other G20 regulations. tRegulatory Reporting Control FrameworkA full governance framework and suite of policy and guidelines documentationCovers governance, accountability and guidance for individuals involved in the reporting process and those responsible for regulatory oversight such as Senior Managers under the SMCRAddresses control and governance issues identified in regulatory fines for incorrect reportingTailored to your business’s internal arrangements and reporting policies Regulatory Reporting Core Training CoursesTraining 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. hShareholding Disclosure ServiceWith 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.