IVP REGULATORY REPORTING AS A SERVICE

Our “Digital First” Managed Services

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Buy-side firms must provide a wide range of filings and disclosures on a constant schedule.

Preparing and delivering these reports is time-consuming. By combining the IVP Raptor solution with our “digital first” Managed Services, firms can effectively outsource regulatory reporting while maintaining complete control.

REDUCE END-TO-END FILING TIME BY

80

100

TRANSPARENCY VIA COMPREHENSIVE AUDIT TRAIL

RETHINK THE OUTSOURCING PARADIGM

“Digital first”

outsourcing takes a much different approach than is typical. Instead of allocating a set number of FTEs to any project, regardless of what processes it involves or how complex they are, IVP leverages the power of artificial intelligence (AI), machine learning (ML), and robotic process automation (RPA) to systematize and automate regulatory reporting.

This delivers big benefits:

Data sourcing, validation, cleaning and form population is entirely taken over

Full transparency with number drill down and “audit anytime” access for our clients

Scalability when clients need to add new funds or data sets

Continuous improvement as our team leverages new technologies to optimize efficiency

CORE REPORTING CAPABILITIES

Regulatory reporting helps ensure compliance with global filings across all major jurisdictions as well as disclosures and trade reporting requirements.

Initial Configuration

Form Configuration

  • Fund setup

  • Question configuration setup

Filing Reference Data Setup

  • New attribute creation

  • New attribute population

  • Rule definition

Data Source Configuration

  • Upstream system integration and updates

  • Workflow documentation

  • Data feed definition: position, transaction, performance, investor, risk, and counterparty

Filings Workflow

Data Consolidation

  • Securities and reference data tagging

  • Creation of templates for IVP Raptor

Data Validation

  • Exception management

  • Impact verification

  • Answer approval

Data Views and Analytics

  • L0 form review

  • L1 calculation review

  • QoQ comparison

  • Raising threshold breaches

  • Test report submission

Report Generation

Periodic Delivery

  • Scheduled according to reporting frequency

  • Automatic email notification

Client Review

  • L2 client approval

  • Manual changes (if required)

  • Validations resolution

Final Signoff

  • Production report submission

  • Complete audit trail and time series across filings history

CRITICAL BENEFITS

Eliminates the need for Data Validation and Correction

IVP does the form population and Level 1 review

Achieves 100% transparency
via comprehensive Audit Trail

Reduces data review time and filing time

Dramatically reduces post-filing issues/amendments

Automates 65% of form population processes

Reutilizes all existing data sources and reports

Reduces the firm’s intervention to one day

RESOURCES