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Compliance Management





Capital Markets: soluzioni TAS per la gestione post-trade:gestione realtime flussi informativi

Record Keeping

MiFID II imposes a new era of heightened order record-keeping challenges on all EU-based financial markets operators.

Record Keeping is the latest TAS Group solution allowing clients to centralize all data records regarding trading activities (order and execution management, market making, OTC transactions, best execution). Users of this solution can analyze data, produce statistics and carry out checks on internalization activities, as well as extracting data to produce regulatory reports on execution quality and on the Top Five Venues.

The solution can be easily integrated with customer trading and back-office platforms, and can be fed through batch and/or real-time data flows in order to deliver post-trade transparency reporting to APA. Record Keeping allows for a direct integration with the Orizzonte notification module towards one or more ARM (Approved Reporting Mechanism) , Competent Authority and Trade Repository for all Transaction Reporting and EMIR notifications. The solution is available on premise and as Plug & Go (service).


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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, providing real time data processing, exception management and monitoring and management of key processes.


  • 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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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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