RegTek.Solutions’ mission is to be at the heart of the market’s transformation to sustainable compliance.

About Us

Targeting Quality, Completeness, Accuracy and Transparency, RegTek.Solutions mutualises the cost and shoulders the burden of tracking and implementing critical regulatory reporting solutions.

Working with all market stakeholders, RegTek.Solutions combines independent, market-validated actionable regulatory intelligence, with proven technologies to offer pragmatic, modular solutions to all financial institutions’ regulatory reporting challenges.

Formed in 2017, RegTek.Solutions was created by Risk Focus Inc., the firm responsible for the original vision, development and distribution of the RegTek.Solutions software suite.

RegTek.Solutions is backed by the Deutsche Börse Group, through their DB1 ventures division, along with Illuminate Financial Management, the specialist Capital Markets venture fund.

With offices in New York, London and Riga, RegTek.Solutions’ expertise and solutions are trusted by the world’s top banks, including more than half of the G16 banks, reporting venues, and Buy-Side firms.

 

 

 

Our modular suite of regulatory reporting compliance and control solutions offers maximum flexibility and agility to firms who must achieve sustainable compliance. Whether filling specialists’ needs in the compliance infrastructure, or building out a complete reporting architecture, securely hosted or locally deployed, firms are able to extract value from our solutions at a pace that fits their specific organisational needs.

VALIDATETrade

Validate.Trade is the world’s only independent, portable, comprehensive validation engine for trade and transaction reporting. Implementing a broad range of validations including regulatory specific validations, repository acceptance criteria, messaging standards, enhanced validations and best practices, or allowing firms to write and customise their own proprietary rules.

Validate.Trade is the bedrock of several of primary reporting solutions we offer – Reporting Quality Assurance, Reporting Quality Gatekeeper as well as Complete Reporting Transparency and Regulatory Quality Heatmaps. Validate.Trade provides value to both the pre-production / change-the-bank environment, supporting analysis, development and testing of regulatory reporting solutions, as well as the post-production / run-the-bank needs of continuous control, oversight and reporting.

Request a Demo

REPORTABLETrade

Reportable.Trade, like all our solutions, is built and maintained around our actionable regulatory intelligence, in collaboration with our community of clients and partners. It is the only independent solution for trade reporting completeness, providing confidence and control to direct and delegating reporting parties, while also identifying over- and under- reporting and duplicates. Our independent approach benefits further from our integration with third-party reference data solutions that augments or enriches the eligibility process – SmartStream’s Reference Data Utility (RDU) is a key data partner for MiFIR reporting data.

Reportable.Trade is the core product behind our Completeness Assurance solutions, including Delegated Reporting Oversight. It covers all primary G20 OTC reporting jurisdictions – Dodd-Frank, EMIR, HKMA, Canada, ASIC, MAS, JFSA and Israel, as well as transaction reporting under MiFIR/MiFID II and SFTR (TBA). Reportable.Trade also offers Reportable Payload generation and integration with Reconcile.Trade to support the complete reconciliation of all data elements reported.

Request a Demo

RECONCILETrade

Reconcile.Trade combines the actionable regulatory intelligence of RegTek.Solutions with the market-leading functionality and experience of SmartStream TLM Premium®. Packaged reconciliations, delivered on our secure cloud platform (AWS®) fulfills the specific mandate of the regulators and provides control and peace of mind to buy-side reporting firms. Regardless of how they report, Reconcile.Trade verifies that firms’ reporting obligation is complete and the results match internal books and records.

Reconcile.Trade delivers our Accuracy Solutions – Reporting Accuracy Assurance and the accuracy component of Delegated Reporting Oversight. Fed by Reportable.Trade, Reconcile.Trade also provides insight and exception management support for Completeness breaks.

Exception management is a key feature of the Reconcile.Trade product, leveraging the rich exception management workflow and reporting of TLM Premium®, Reconcile.Trade gives firms the operational capability to create, manage and resolve reporting exceptions, allocate exceptions to internal or external stakeholders and provides a fully audited chronology of the exception management process for auditors and regulators.

Request a Demo

LOADTrade

Load.Trade is an enhanced trade reporting portal providing connectivity to the main trade repositories. Load.Trade provides the pre-validation and submission of data seamlessly, with automatic result verification.

Request a demo

RegTek.Solutions’ success is due to its combination of effective technology with an exceptional team of seasoned, proven regulatory reporting experts.

Brian Lynch
Co-founder & CEO

Brian is responsible for defining and executing the company’s strategy….

[more]

Brian is responsible for defining and executing the company’s strategy. Prior to joining Risk Focus in 2011, and launching RegTek Solutions in 2017, he spent 14 years at UBS, most recently as Chief Operating Officer for Delta One trading, a role in which he successfully brought several new business lines and products to market. He also has many years’ experience at the bank in fixed income, credit default swaps and prime brokerage. Brian received his Bachelor of Science in Construction Management from the University of Witwatersrand.

Stan Etra
Head of Product Development & Delivery

Stan brings over two decades of experience in capital markets product development…

[more]

Stan brings over two decades of experience in capital markets product development, with a specialty in derivatives trade processing across equities and fixed income. Through innovation or sheer determination, Stan has an unwavering focus on delivery and quality. He holds a Bachelor of Science in Computer Science and Engineering from the Massachusetts Institute of Technology, and a Masters in Control Engineering from Columbia University.

Rob Bernstein
CFO

Rob bring more than 10 years’ experience as a finance executive…

[more]

Rob bring more than 10 years’ experience as a finance executive, having joined RegTek.Solutions from TIM Group where he held the position of CFO for 7 years. During his career, he has successfully led both organic and acquisition growth strategies, fund raises, and executed on two trade sales of tech-enabled fast growth businesses: a telecommunications business and more recently, the fintech firm TIM Group.

Tom Morris
Head of Sales, Europe

Seasoned post-trade senior sales professional with over 20 years…

[more]

Seasoned post-trade senior sales professional with over 20 years of experience. Prior to joining RegTek.Solutions, Tom was Head of Regulatory Reporting Solutions at NEX Group, responsible for the business development of the firm’s MiFID II, EMIR and SFTR products. Tom was also previously Head of Sales and Relationship Management for post-trade solutions at Market Axess (TRAX), leading the business development of their trade and transaction reporting practice.

Rob McGowan
Head of Sales, North America

Rob McGowan brings over 15 years’ experience in business development at high growth financial technology…

[more]

Rob McGowan brings over 15 years’ experience in business development at high growth financial technology firms, delivering value to both Sell-Side and Buy-Side firms. Prior to joining Regtek.Solutions, Rob was SVP of Sales at  SmartStream where he focused on all aspects of transaction lifecycle process improvements and control for the middle and back office. This included reconciliation, regulatory reporting, cash management, corporate action processing and reference data. As Head of Sales for North America, Rob continues to work closely with SmartStream as part of the firms’ partnership. Rob joins our mission of supporting firms throughout their Sustainable Compliance journey.

Lixia Sun
Senior Partner

Lixia is the lead developer at RegTek Solutions. Her ‘no-fuss’ approach…

[more]

Lixia is the lead developer at RegTek Solutions. Her ‘no-fuss’ approach and technical excellence, coupled with her unstoppable work ethic, provide the delivery horsepower that is needed for high pressure projects in the capital markets. Her specialty is trade processing, where she leverages the technology development stream to deliver client solutions.

David Morris
Product Management

David has worked in financial technology for the last 10 years…

[more]

David has worked in financial technology for the last 10 years, first gaining his degree in Computer Science from the University of Exeter in the UK and then starting his career at Tradar Ltd (now Eze Software) and then London Stock Exchange for UnaVista working in both London and New York. Building a wealth of expertise across multiple roles throughout the software & business development spectrum.

RegTek.Solutions provides its services and technology to financial market participants across the world – and is committed to growing and extending this ecosystem to the mutual benefit of all members.

CME Group

Prior to creating RegTek.Solutions, the CME engaged our team within Risk Focus to help with the processing of FpML based trade reporting messages. The project was an ideal place to use our proprietary “FpML Flattener”, an intelligent transformation engine that creates usable data from FpML reports. The “Flattener” allowed the CME to easily move between FpML and their own reporting formats.

Jonathan Thursby, President, Global Repository Services at CME Group said “They are experts in the trade reporting domain and delivered what we needed, fast and with minimal oversight”.

Deutsche Börse

The Regulatory Reporting Hub of Deutsche Börse Group has launched a partnership with RegTek.Solutions in which key system components, including VALIDATETrade were included in the Regulatory Reporting Hubs’ OTC Trade Reporting solution.

Georg Gross, Head of Regulatory Services at Deutsche Börse, said “In the dynamic environment with frequent updates of regulatory details, the approach using a rules engine has already proven to be very useful. OTC trade reporting is one of the backbones of MiFID II, which is going to be effective as of January 2018. Deutsche Börse’s MiFID II OTC trade reporting service will provide clients with an efficient and simple-to-use way of meeting their OTC transparency requirements in accordance with the new regulation”.

DTCC

RegTek.Solutions has enjoyed a long and fruitful relationship with the DTCC. Our solutions are used by many of the largest Global Trade Repository [GTR] reporting firms and we cover 100% of the global regulatory jurisdictions supported by the GTR. That said, we were very excited when the DTCC chose to use our VALIDATETrade software to help them test and prepare for their EMIR reporting upgrades.

Chris Childs, CEO of DTCC’s Global GTR business said “DTCC believes that the use of this tool internally will enhance quality assurance and pre-UAT testing within the GTR service”.

UBS

UBS was the 6th G15 bank to sign up to our VALIDATETrade platform. UBS is initially using VALIDATETrade to enhance and streamline the testing of its proprietary reporting solutions. With a full enterprise license for G20 Reporting to the DTCC Global Trade Repository [GTR], UBS has the opportunity to expand its usage to include proactive control and oversight of the global reporting platform through comprehensive data quality surveillance of daily reporting submissions.

Brian Lynch, CEO of RegTek.Solutions, said “Having enjoyed a long and happy career at UBS I was particularly excited to get them on-board”.

Trusted and established technology integrators partner with RegTek.Solutions to deploy our solutions as part of their own client engagements.

Risk Focus

Creator of RegTek.Solutions, Risk Focus Inc., was formed in 2004 and prides itself on setting the bar for custom solution delivery. Their no-nonsense approach and penchant for exceeding clients’ expectations sets them apart from ‘consulting firms’ whose focus is often on client colonization not satisfaction.

Risk Focus is the first integrator and reseller of RegTek.Solutions products and solutions, providing the custom services and support that clients may require to implement our solutions. Risk Focus, being expert in RegTek.Solutions products, is able to take clients from concept to production, efficiently and cost-effectively.

Visit the Risk Focus website

Illuminate Financial

Illuminate Financial is where capital markets meet the FinTech solutions that sustain them.

They focus on finding and funding enterprise FinTech solutions that will effect real change within capital markets.

Every role they play is to achieve their mission: to help financial institutions thrive in this ‘moment of generational change’ by connecting those who need solutions to those that have created them.

Illuminate Financial are Independent Strategic Funders.

Visit the Illuminate Financial website

SmartStream

SmartStream is a global software and managed services provider that in challenging markets conditions has outpaced its rivals in the financial markets sector, creating an impressive base of more than 1,500 customers. This includes more than 70 of the world’s top 100 banks alongside the world’s leading asset managers, custodians and broker dealers.

SmartStream and RegTek.Solutions have joined forces to deliver Reconcile.Trade, drawing on SmartStream’s tremendous depth and experience in the delivery and maintenance of reconciliation controls.

Visit the SmartStream website

Optimity

Optimity Advisors is a global consulting firm that helps organizations design and implement strategies, services, processes, business models and applications that transform business. With offices worldwide, Optimity’s industry and subject matter experts apply a wealth of experience, and use a robust range of technologies, tools and practices to collaboratively create better experiences that drive measurable value in a hyper-connected, digital world.

Optimity and RegTek.Solutions work hand-in-hand to develop new solutions to answer firms’ regulatory reporting needs.

Visit the Optimity website.

We are committed to building out a complete platform to meet our global clients’ needs.

* – subject to client request, not prioritized for general delivery
** – partial integration – UV, HKTR & BOI Supported for completeness pairing (Reportable Trade)

Download