Compliance Reconciliation with Cappitech

3-Way Reconciliation from EMS/OMS Data to Regulator and Back
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Perfectly reconcile transaction data for the entire regulatory submission process

Regulators require investment firms to conduct systematic reviews of their regulatory report submissions. This includes reconciling reports received by regulators to trade data.

Cappitech provides a three-way reconciliation solution to help firms with their compliance governance.  Trade data is compared to transaction reports with line-by-line details of submissions to trades. Final XML reports received by the FCA reconciled to MiFIR submissions to comply with best practices of monitoring transaction reporting.


Convert XML files provided to the regulators to an easy to read CSV format
Reconcile transaction reports with trade data
Display information on products filters out due to being ‘out of scope’
Build a compliance monitoring solution to comply with regulatory requirements
Identify any failings in your reporting process

How Cappitech’s Solution Works

No additional integrations needed for reporting clients
MDP setup
Download of NCA XML reports and upload to Cappitech
NCA data and front-end trades compared to submissions
Daily creation of easy to review CSV files by reporting regulation

Learn More

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