RegPro Regulatory Reporting Platform Solution

Report on and ensure compliance with many calculation requirements using a thoroughly tested portfolio transaction database design coupled with a user-friendly and highly customizable interface.

RegPro is a platform that may be used for many compliance and reporting requirements including money market reform items such as daily liquidity and more, and can be tailored to a firm's specific needs. It includes a highly customizable user interface and a thoroughly tested and used enterprise database design to store all portfolio transactions.

The RegPro platform has been used in projects at a global investment firm for the following reports:

Dollar Weighted Average Maturity analysis for any fund that holds fixed income instruments;

Portfolio Turnover rate calculations and analysis;

The platform may be used for Trade Activity for hedge funds for Form PF reporting.

Non-exhaustive list of the functionality presently built into the RegPro Regulatory Reporting platform:

• Web-based framework tied in with any firm’s secure authorization tools (tied in with secure sign on to manage roles and user level capabilities for example);

• Ability to control processing (processing rules by time and or event-specific. Run every day at 2am for example, or run when alerted by upstream system, on demand, etc.);

• Screens to view summary data by account and account groups;

• Screens to view and edit detail data at various levels (account, holdings, security, transactions, etc.);

• Ability to view and edit data for current day calculations and reporting;

• Ability to view and report on data for historical reporting purposes;

• Ability to easily download any data from screens into Excel for further analysis and recon;

• Built-in analytic tools to highlight exceptions and generate warnings when values exceed tolerance levels or for potential data issues (e.g. missing key piece of security reference data).

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