FINRA TRACE

Control & automate FINRA TRACE reporting with Inforalgo’s cloud-based data automation platform Reg Flex

Regulatory reporting has become a huge preoccupation for Capital Markets organisations, not least since the 2017 changes to FINRA TRACE requirements. These now encompass US Treasuries trades globally, with extremely low tolerance of inaccuracies. Generating robust, timely reporting and matching has become a costly, resource-hungry process which ultimately leads to disciplinary actions against market participants for violations.

Reg Flex from Inforalgo directly addresses this need – automating high quality, accurate reporting in real time that fits a market participant’s specific trading scenario. This provides a significant advantage over typical ‘black box’ style, ‘fire and forget’ generic solutions, allowing market participants to take back control of their regulatory reporting activities.

Benefits at a glance:

Cloud-based for rapid, easy deployment and continuous updates

A single, adaptable solution which we are configuring for deployment for multiple regulatory reporting regimes worldwide

Caters for any combination of trading venues and data feeds, with rapid switch on

Powerful ready-to-go capabilities that can be customised quickly and effortlessly to reflect your own trading environment with relevant eligibility reporting rules

Download our flyer to learn how to control and automate FINRA TRACE reporting

FINRA News

UBS’s £28m FCA fine for reporting failures is a wake-up call

The eye-watering penalty, incurred through failings with 136 million transaction reports over a 10-year period, are a sobering call to investment banks to bring data management and reporting under tighter control The news that the Financial Conduct Authority (FCA) has fined UBS AG an eye-watering £27.6m for transaction report failings over a 10-year-period will be...
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Jefferies selects Inforalgo’s Regulatory Reporting Hub for self-service control and automation of FINRA TRACE reporting

Inforalgo’s Regulatory Reporting Hub, a cloud-based data automation platform, will give compliance teams smart, low-touch control over reporting under FINRA Rule 6730 – Transaction Reporting Inforalgo, the Capital Markets data automation specialist, has today announced that Jefferies LLC will use its cloud-based Regulatory Reporting Hub and intelligent data automation platform for FINRA TRACE reporting. The...
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ATS Reporting of Transactions in U.S. Treasury Securities

FINRA News – 18-34 SEC Approves Amendment to Require Alternative Trading Systems to Identify Non-FINRA Member Subscribers in TRACE Reports for U.S. Treasury Securities Summary Effective April 1, 2019, large alternative trading systems (ATSs) will be required to identify non-FINRA member subscriber counterparties in TRACE reports for transactions in U.S. Treasury securities using FINRA-assigned market...
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LiquidityEdge uses Inforalgo for market transparency obligations reporting

London, 12 September 2018 – Inforalgo, the leading provider of straight-through-processing and trading system integration to the Capital Markets industry, today announced the successful implementation of their Regulatory Reporting Hub (RRH) for US Treasury reporting at LiquidityEdge. Established as an alternative trading venue for US Treasuries, Liquidity Edge provides a bespoke trading ecosystem that connects...
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