Financial Services Compliance and Regulation
Financial Services Compliance and Regulation

Trade and Transaction Reporting Services

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Explore Financial Services Compliance and Regulation

  • Solutions

Trade and transaction reporting is a highly complex area that many firms struggle to fully understand and successfully implement, as has been demonstrated by a number of high-profile enforcement cases.

As the European transaction reporting regimes have matured, the ESMA, the FCA and the EU National Competent Authorities (NCAs) are placing increasing focus on the accuracy, validity and completeness of firms’ trade and transaction reporting.

Transaction reporting requirements are challenging, and failings can lead to significant financial penalties as well as reputational damage for both the firm and its individuals responsible, particularly under the FCA’s Senior Managers Regime.

Whether you have identified reporting problems, are facing regulatory action or simply require independent advice and assurance on your current transaction reporting and/or trade reporting arrangements, Kroll can assist. Backed by our multidisciplinary markets team, Kroll is renowned as a leading advisor on regulatory reporting, especially MiFIR, EMIR and SFTR.

Trade and Transaction Reporting Services

Tech-Enabled Trade and Transaction Reporting Service

To complement our existing, world-class consulting services, Kroll has launched a new electronic transaction reporting assurance service – RegAnalyze. This service aims to improve the quality of your reporting and reduce the costs associated with meeting your regulatory obligations, using in-house resources.

Our RegAnalyze quality assurance reporting solution offers the following benefits:

  • A comprehensive range of quality assurance reporting and accuracy for EMIR, MiFIR and SFTR 
  • Automated data quality validation for accuracy
  • Data reconciliation tool for completeness
  • Ability to adapt to ingest your internal systems for reconciliation
  • Reporting of results ranked by relative regulatory risk
  • Clear recommendations
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U.S. Compliance Services

U.S. Compliance Services

Comprehensive support for asset managers registering in the U.S.

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UK Compliance Services

Comprehensive compliance and regulatory support for FCA authorized firms.

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Asia Compliance Services

Expert compliance advice to Asia financial institutions.

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European Compliance Services

Comprehensive compliance and regulatory support for EU firms.

Regulatory Advice and Consulting Services

Regulatory Advice and Consulting Services

Assistance to develop, implement, and manage global compliance and regulatory consulting programs.

Regulated Platforms

Regulated Platforms

Kroll operates regulated platforms for private funds and UCITS clients through our UK hosted regulatory solution and Luxembourg- and Ireland-based management companies.

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