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Regulatory Technology

Overview

Taking Regulatory Compliance to the Next Level

 

Roche Fintech uses its proprietary regulation technology to make it easier and cost effective for financial institutions to comply with MiFID II, EMIR, ASIC, Best Execution and other compliance obligations. 

 

Through Roche Fintech™, our cross-regulation platform, brokers, banks, asset managers and corporates report millions of trades a day to comply with these regulations as well as use this trading data to gain visibility into their organizations and make informed business decisions.

We believe that our customers should focus on their core business objectives while leaving the heavy compliance burden to us. The Roche Fintech technology is designed to take care of the daily operational tasks so that financial institutions and compliance officers can move from focusing on regulatory operations to regulatory oversight.

Using our regulatory know-how and years of experience in the financial services industry we have created an easy way for organizations to fulfill their compliance obligations. Whether it is understanding the complexities around a certain regulation or knowing how different financial entities need to comply, our regulatory knowledge guides customers throughout the compliance journey. 

Our Professional services team supports every stage of the compliance process. This team of industry experts is well versed in the day-to-day operations of reporting and helps ease the sometimes daunting process of regulatory reporting for customers.

Roche Fintech has the technological power to manage, process and analyze trading data to provide customers with robust capabilities for hassle-free regulatory reporting and the ability to gain tangible business insights from their trading data. 

Unique in the industry, our full service regulatory platform – Roche Fintech™ – harnesses innovative technologies for this purpose. The Roche Fintech™ platform is a single hub that collects trade data for multiple reporting jurisdictions, while the unified analytics dashboard is used to monitor reporting status and audit-trail of past reports and provide pure transparency of all submitted transaction reports, regulatory messages and execution analysis.

For Best Execution market comparisons, Roche Fintech sources its market data from Refinitiv (formerly the Thomson Reuters Financial & Risk business) second by second, consolidated market data feeds across multiple asset classes and geographies.

Core Platform

What We Actually Use As Framework.

Our vertical solutions expertise allows your business to streamline workflow.

The foundation of our reporting technology is our Roche Fintech™ platform. Through this platform, our customers easily automate and submit their daily trades to comply with international financial transaction reporting obligations including:

  • MiFID II: Transaction/Trade Reporting

  • Best Execution analysis (RTS 27/28)

  • EMIR Transaction Reporting

  • ASIC Derivative Reporting

  • Canadian Trade Reporting

  • FinfraG Derivative Reporting

  • SFTR Reporting

  • Brexit Ready MiFID II & EMIR Reporting

Designed with a flexible architecture, Roche Fintech™ is built to offer customers a user-friendly compliance platform that provides access to instant insights based on trading data so that decision-makers can make informed data-driven decisions and monitor best execution practices. 

The platform easily scales to handle multiple regulation reporting and millions of daily trades. It then analyses all trades reported in combination with market data sourced from Refinitiv (formerly the Thomson Reuters Financial & Risk business) second by second, consolidated market data feeds across multiple asset classes and geographies and and calculates Best Execution analysis, to comply with MiFID II, RTS 27 & RTS 28.

Client trade data is transferred to Roche Fintech™ via files or through direct connection to the client OMS/Reporting database. Roche Fintech™ is file format agnostic and supports input of numerous formats with data then normalized to a single date structure.

Data enrichment and validation

The platform validates information for errors, enriches it with reference data and reformats it to meet the regulatory specifications.

Trade reporting to TR or ARM

Roche Fintech™ is a multi-regulation platform and submits the files to the appropriate Trade Repository or ARM to be shared with the regulators.

Trade monitoring and reconciliation

Through our analytics dashboard, Roche Fintech monitors the reporting status and provides feedback on the submission results. It also provides an audit trail for past reports to make the audit process a simple task.

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