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Compliance Management



Capital markets: TAS compliance solutions

TeleMonitor

The obligations introduced by European regulations - monitoring and reporting of suspicious transactions (market abuse), management of relevant parties, notice to supervisory bodies (transaction reporting) - have been added to the existing requirements relating to monitoring customer transactions for abnormal activities.
TeleMonitor carries out screening of trading operations, and reports operations that could be linked to insider trading and market manipulation, managing in a centralized manner the issues relating to the records of relevant entities.

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single solution  for the reporting of EMIR, Dodd-Frank, FinfraG and MIFID II

Orizzonte - Regulatory Reporting

In partnership with NewSoft, TAS Group presents Orizzonte Regulatory Reporting: the single solution, composed by four independent modules, for the reporting of EMIR, Dodd-Frank, FinfraG and MIFID II eligible trade data, providing real time data processing plus the monitoring and management of key processes and an easy reporting configuration.


  • Processing the “deal” acquired from any back office
  • Enriching required data to complete transactions
  • Setting eligibility criteria and rules for extraction and/or exclusion for Counterparty or single deal
  • Sending the available actions (e.g. for EMIR: Backloading, New trade, Modification, Valuation Update, Collateral, Full Termination) to different destinations (e.g. TR and ARM)
  • Managing end-to-end process flows or messages by tracking and analysing the sending status of different return inbound messages, aligning and checking all transactions

 

The Regulatory Reporting can be set up as:

  • Participant Reporting
  • Reporting Third Party


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