Directory · Operations, compliance and infrastructure
Regulatory reporting
65 products carry this category. Categories are tags, so several of these also appear elsewhere.
What is meant by Regulatory reporting?
Production and submission of reports required by regulators — transaction reporting, position and short-sale disclosure, fund and derivative reporting — in each regime's format and to its deadlines.
Who uses Regulatory reporting?
Compliance and operations.
What gets confused with Regulatory reporting?
Client reporting, which serves investors rather than regulators. The obligations, formats and consequences of error are entirely different.
What should you ask a vendor about Regulatory reporting?
Ask how a regime's rule change reaches the system and who pays for it. That is the recurring cost.
This definition is Buyside Fintech’s own editorial work, not a vendor’s. The products listed below carry the sources we read.
Regulatory reporting products
65 PRODUCTS
ACA Transaction Cost AnalysisACA GroupCross-asset TCA assembled by acquisition, adding Global Trading Analytics and then FX Transparency (founded 2009, Framingham, Massachusetts) on 10 March 2026.ARRMAACA GroupRegulatory Reporting Monitoring and Assurance: finds and fixes MiFIR and EMIR reporting errors before submission, feeding results into ACA's ComplianceAlpha platform.Allvue Investment Compliance ManagementAllvue SystemsCompliance across hypothetical, pre-trade, allocation and post-trade stages for private debt and CLO managers, covering CLO, 40 Act, UCITS and BDC tests.Apex Private Equity Fund AdministrationApex GroupSingle-source fund administration, middle office, transfer agency and regulatory support for private equity funds; established in Bermuda in 2003 and grown largely by acquisition.AQMetrics Investment ComplianceAQMetricsAutomated monitoring of portfolios against internal controls, risk limits and client mandates; the vendor emphasises continuous post-trade oversight rather than pre-trade screening.Unified Regulatory Reporting FrameworkAQMetricsCloud platform covering MiFID II, EMIR, AIFMD Annex IV, Form ADV, Form PF, CPO-PQR, 13D/13G, 13F, N-PX and Form SHO in one place.Arcesium Regulatory ReportingArcesiumModule of the Opterra platform that files Form PF, CPO-PQR, TIC, 13F, 13G, 13H, 13f-2, MiFID II, MAS and ASIC reports off the same data as its accounting book of record.OpterraArcesiumPost-trade and investment operations platform covering unified accounting, allocations, reconciliations and treasury; paired with Limina for front-to-back.AutoRekAutoRekFinancial control platform combining reconciliation, data oversight and regulatory assurance, with an AI engine branded ARIA.Clarity AI Sustainability Tech PlatformClarity AIAutomates SFDR, EU Taxonomy and MiFID II sustainability reporting over a large listed and private company dataset; acquired the sustainability fintech ecolytiq in July 2025.KneipClearstreamFund data management, document dissemination and regulatory reporting for asset managers; became part of Clearstream and Deutsche Börse Group in 2022.Clearwater Investment Accounting PlatformClearwater AnalyticsDaily multi-basis, multi-currency accounting book of record producing GAAP, STAT, IFRS and tax bases at once, with NAV and stakeholder reporting.Polaris PlatformComplyportMAP FinTech's Polaris platform, now the transaction reporting arm of Complyport, files EMIR, EMIR REFIT, MiFIR, SFTR, ASIC, MAS and CSA reports.Alternative Funds Reporting PlatformConfluence TechnologiesSingle platform for private-fund filings including Form PF, 13F, 13D/G, CPO-PQR, AIFMD Annex IV, CIMA FAR and Irish/Luxembourg filings.OmniaConfluence TechnologiesAutomates regulatory reporting and filing across 40+ countries, covering Form PF, 13F, 13D, N-PORT, ADV, AIFMD Annex IV and APAC regimes.Unity Financial ReportingConfluence TechnologiesInstitutional, retail fund and portfolio reporting plus visual marketing documents, sold alongside Unity Performance, Revolution and Style Analytics.Connect Earth Sustainable Finance Operating SystemConnect EarthAggregates ESG, SDG and PAI data from several underlying providers and turns it into publish-ready SFDR and EU Taxonomy disclosures; acquired the Stockholm firm Datia.DatoxDatoxAI-based platform that generates and submits AIFMD Annex IV, Form PF, 13F, Schedule 13D and MiFID II transaction reports; pre-seed funded university spinout.ArcFlexDonnelley Financial SolutionsCloud reporting platform for alternative and private funds covering annual/quarterly reports, proxies and Schedules 13D and 13G; part of the Arc Suite family.DucoDuco TechnologyNo-code, cloud-native platform where operations staff build their own reconciliations, plus data extraction and exception management.Best Execution and TCA (PATH)eflow GlobalBest execution testing and TCA on the PATH regulatory platform, sold alongside trade surveillance, communications surveillance and transaction reporting.PATH AIeflow GlobalRegulatory platform bundling trade surveillance, eComms monitoring and archiving, best execution and EMIR/MiFIR transaction reporting.PATH Transaction Reportingeflow GlobalMiFIR and EMIR reporting module of the PATH platform with three-way reconciliation, FIRDS cross-referencing and ARM submission.AIFMD Annex IV Reporting (Matterhorn Reporting Services)FE fundinfoManaged Annex IV service that collects the 300+ data points and files to EU/EEA national competent authorities and the UK regulator.FE fundinfo FactsheetsFE fundinfoFund factsheets and automated PRIIPs, UCITS, SFDR and TCFD document production, with dissemination to platforms and distributors.FIS Pre-Trade Compliance (formerly Droit)FISAPI-first pre-trade eligibility decisioning bought by FIS from Droit; aggregates KYC, documentation, credit line and sanctions checks into a ready-to-trade decision.Filing ManagerFundAppsCentralises regulatory submission workflows including Form PF, Form ADV, Form 13F, Form CPO-PQR and AIFMD Annex IV filings.FundApps Investment MonitoringFundAppsManaged cloud rules service covering investment monitoring, position limits, UCITS and AIFMD limits and shareholding disclosure, with over 850 pre-coded rules maintained by in-house lawyers.Shareholding DisclosureFundAppsTracks ownership thresholds across jurisdictions and produces the resulting shareholding disclosure filings for investment managers.GalaxyFunds-AxisCentralised platform producing AIFMD Annex IV, Form PF, FCA derivatives-use and Form 13F filings with automated calculations and XML output.Galaxy Investment Compliance MonitoringFunds-AxisRule-checking and exception monitoring against regulatory limits, prospectus limits and investment mandates, with over 2,000 pre-built rules; the vendor describes it as post-trade restriction monitoring.Gen II Compliance ServicesGen II Fund ServicesOutsourced compliance for private capital funds: investor AML/KYC (powered by Fenergo), beneficial ownership registers and ongoing risk-based monitoring run by MLRO and MLCO professionals, alongside regulatory filings.GrathGrathNewer reconciliation platform built specifically for client money, client asset and safeguarding reconciliations; its site states it has joined AutoRek.GreenboardGreenboardCompliance system for SEC and FINRA workflows covering communications archiving, marketing review, firm compliance and employee supervision for RIAs, hedge funds and private funds.IQ-EQ Hedge and Hybrid Fund AdministrationIQ-EQInvestor services group administering hedge and hybrid fund structures across roughly two dozen jurisdictions.Kaizen HubKaizenIndependent assurance rather than filing: forensic accuracy testing and completeness controls across MiFIR, EMIR, SFTR, CFTC, SEC, ASIC, MAS and HKMA reports.Langham HallLangham HallFund administration, depositary, AIFM and regulatory reporting services for private equity, real estate, infrastructure and debt funds.Linedata ComplianceLinedataPre- and post-trade compliance monitoring with custom rule creation, exception management and AIFMD/UCITS coverage; the vendor claims over 70 firms use it.LSEG Regulatory Reporting SolutionsLSEGPost-trade reporting services covering EMIR and MiFID, sold alongside MiFID trade surveillance.ResolvrLSGAutomates expense allocation across funds and legal entities, vendor spend management and legal bill review, aimed at SEC expense misallocation risk at hedge funds and private equity firms.MSCI RiskMetrics RiskManagerMSCIHosted enterprise risk system combining value-at-risk, factor, stress testing and liquidity analysis on the RiskMetrics calculation engine.MyComplianceOfficeMyComplianceOfficeCompliance platform covering employee personal trading, gifts and political contributions, electronic communications archive and review, trade surveillance, insider and MNPI control, and third-party risk.NeoXam ImpressNeoXamReporting platform covering client, digital and regulatory reporting, with Excel and PowerPoint add-ins for designing branded factsheets.Norm AiNorm AiAI agents that encode legal and regulatory rules to automate compliance review tasks for financial institutions, including asset managers.Global Fund ServicesNorthern TrustOnshore and offshore fund administration for traditional and alternative assets inside Northern Trust's asset servicing business.En>ACTNovatusTransaction reporting platform plus consulting for EMIR, MiFIR and SFTR, extended to CFTC, SEC, ASIC, MAS and other regimes.Reporting as a ServiceOpus NebulaCloud reporting service producing client, fund and regulatory reports, fund factsheets and KIIDs/KIDs for asset and wealth managers.Red OakRed OakCompliance software for RIAs and broker-dealers covering advertising review and communications surveillance.Periodic ReportingReg-X InnovationsSoftware-as-a-service for AIFMD Annex IV, Form PF and Form PR, sold alongside its RegAssure trade-reporting accuracy tooling.Regnology Transaction ReportingRegnologyModular reporting application on one data model for EMIR/EMIR REFIT, MiFIR, MMSR, SFTR, FinfraG and MAS/CSA.CappitechS&P GlobalTransaction reporting service for EMIR, MiFIR, SFTR, FinfraG, SEC 10c-1a, CFTC, MAS, ASIC, HKMA, JFSA and Canada, including delegated reporting.SIX Market & Reference DataSIX GroupPricing, corporate action and instrument data across 36 million instruments, delivered by market data feed, APIs, files, Snowflake or the SIX iD desktop display.SolidatusSolidatusData lineage and metadata management with column-level lineage and regulatory overlays; Citi has made a strategic investment and is a user.SingularitySS&C TechnologiesSS&C describes it as a scalable insurance investment accounting platform for asset managers.SS&C GlobeOp Fund AdministrationSS&C TechnologiesEnd-to-end NAV calculation, financial reporting and investor servicing sold under SS&C's GlobeOp brand.SS&C Regulatory & Compliance ReportingSS&C TechnologiesOutsourced and technology-supported preparation of Form PF, AIFMD Annex IV, Form 13F and CPO-PQR filings for fund managers.State Street Fund AdministrationState StreetBank-owned administration covering accounting, financial and regulatory reporting, post-trade compliance monitoring and tax reporting.SteelEye Compliance PlatformSteelEyeSingle data platform combining trade surveillance, communications surveillance, WORM archiving and trade reconstruction for buy-side firms.Toppan Merrill BridgeToppan MerrillDisclosure and filing software for preparing EDGAR and iXBRL regulatory filings.TRAction Regulatory Trade ReportingTRAction FintechDelegated reporting intermediary that submits EMIR, MiFIR, SFTR, ASIC, MAS, Canadian and US trade reports on clients' behalf.RapidLEIUbisecureGLEIF-accredited LEI issuer (accredited since 2018) providing LEI registration, renewal, transfer, bulk management and vLEI credentials by API.Waystone Compliance SolutionsWaystoneOutsourced compliance services for asset managers, including SEC registration and Form ADV filing, mock regulatory exams, AML/KYC and outsourced compliance roles.XceptorXceptorData automation platform that ingests, transforms, normalises and validates data across post-trade workflows including reconciliations and tax.Xceptor ConfirmationsXceptorAutomates confirmation generation, counterparty chasing, AI extraction from unstructured confirmation documents and matching of booked trades against the broker version.Xceptor ReconciliationsXceptorAutomates reconciliation over structured and unstructured inputs such as PDFs and broker statements, with smart matching and exception routing.