Trial Balance Monitor,
reserve requirements reporting.
Designed to assist firms in complying with SEC rules relating to customer and proprietary securities account reserve requirements for brokers and dealers.
Increased Efficiency
The reporting process is automated through a streamlined reporting workflow from report creation to submission. The product flexibly enables you to connect to multiple source systems to achieve a high level of efficiency and automation, facilitating timely report submissions. The reporting process is streamlined from data mapping and calculations to report submissions to regulators including SEC, FINRA and SIPC.
Reporting Cycle Control
Get a clear, at-a-glance overview on the state of your reporting cycle with graphical views at the report and team level. A harmonized data model and standardized processes provide data consistency across regulatory regimes. Allows broker-dealers to optimize net capital requirements and customer reserve compliance.
Improved Data Quality
With variance analysis, and time series analysis, you can be confident in a smooth submission of accurate real-time data to the regulator. Greater reporting efficiency and accuracy through workflow automation, collaboration and analytics. Leveraging common data input with the numerous advantages of a cloud-empowered platform, including data lineage, workflow management, and audit capabilities.
Trial Balance Monitor Proprietary securities account reserve requirements for brokers and dealers.
Ensure compliance and optimize regulatory capital for broker-dealers through an integrated end-to-end (E2E) reporting solution.
Unique Data Model
An easy-to-use and flexible single data ingestion model, applicable to template-based, cube-based or granular-data reporting for reporting synergy.
Rapid Calculations
The application performs rapid calculations enabling broker-dealers to meet daily reporting deadlines efficiently. Facilitating the generation and submission of FINRA AEP reports.
Automation
Ensuring precise SEC and FINRA compliance through data mapping, calculations, report generation, and submission.
How we work...
Standardization
End-to-end standardization from granular data to reports and inclusive of data dictionaries, models and processing logic.
Mutualization
Reduced efforts and costs through knowledge sharing and mutual investments in shared data/analytics platforms and their governance.
Automation/Digitization
Digital design from end-to-end combined with regulation as code automates and simplifies data transformation, report generation and distribution.
Cloud-Based
Efficient horizontal and vertical scaling, high elasticity, GCP-approved IT architecture and a modern development environment deliver scalability, efficiency and security.
Reporting Made Easy
An intelligent SaaS platform designed with user journey in mind to make reporting easy.
Know-How And Technology
Combining extensive regulatory know-how with proven, reliable and forward-looking technology to deliver increased workflow efficiencies, fast time-to-value and peace-of-mind.
Clients trust us, to care.
We’re making a difference and it shows. Read the success stories from our clients and see for yourself.
Got questions?
We've got answers.
What file types can I import into the application?
Can I edit existing submissions?
Does the solution calculate stock dividends and similar distributions receivable that are outstanding?
How is the variance calculated?
Can the application be integrated into our existing Regnology platform?
Regnology Trial Balance Monitor. Monitoring customer and PAB account reserve requirements.
