Shield
Forensic-Level Quality Assurance

Diagnostic Auditor

Delivers market-leading accuracy and completeness checks  giving investment firms confidence in their transaction reporting compliance.

MiFID | EMIR | SFTR | CFTC | CSA | HKMA | MAS | ASIC

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  • MiFIR
  • CFTC
  • CSA
  • SFTR
  • EMIR Refit
  • ASIC
  • MAS
  • HKMA
Fast, Accurate & Complete

Every field, Every report, Every time

Diagnostic Auditor applies over 1,000 field-level validation rules, delivering coverage that is four times the industry standard.

AI-driven error detection and advanced pattern recognition accelerates the identification of issues and anomalies.

End-to-end automation reduces manual effort and operational overhead.

Only cloud-based solution trusted by top, recognised regulatory consultancies.

Diagnostic Auditor forms part of Qomply Regulatory Reporting Hub which includes Trade Reconciler for MiFID, DualRec Trade Reconciler for G10 regimes, and QomplyDirect for direct submission to the regulator or other regulatory endpoints.

For firms seeking additional support, Qomply also offers a fully managed service, enabling you to delegate some or all transaction reporting.

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Submit with confidence

Operational Flexibility

The platform supports pre- and post-submission checks, enabling seamless integration into today’s systems and scalable assurance for the future.

When validating transaction reports before submission, firms can submit with confidence - reducing regulatory risk and avoiding costly errors.

Alternatively, firms may choose to validate reports post-submission to meet periodic checking requirements while maintaining operational efficiency.

  • 65%
    Cost reduction
    for clients
  • 55%
    Reduction in
    reporting errors
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Trusted by top investment firms

Learn how Qomply helps leading investment firms meet regulatory demands with confidence.

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Frequently asked questions

  • The Diagnostic Auditor automatically checks the accuracy and completeness of your transaction reports using a comprehensive, field-by-field rules engine. Every report is assessed against an extensive matrix of regulatory validations, data dependencies, and logic checks — far beyond basic schema or regulator-level validation.

    It can be used before submission (to catch issues early) and after submission (to independently verify what was accepted by the regulator), giving you clear visibility of data quality and potential compliance risk.

  • Yes. One of the key strengths of Qomply’s QA tools is their ability to identify silent errors that is, issues that pass regulatory validation but are still incorrect, inconsistent, or mis-reported.

    These include problems such as incorrect reference data, mis-applied logic, internal inconsistencies between fields, or values that are technically valid but wrong in context. These errors often go undetected until a regulatory review or investigation. Diagnostic Auditor helps surface them proactively.

  • Qomply improves data quality by combining deep regulatory logic, cross-field validation, and independent assurance of submitted reports. Instead of relying solely on ARM feedback or regulator rejections, firms gain their own transparent view of reporting accuracy.

    This reduces remediation effort, strengthens governance, and enhances internal audit controls — helping firms manage regulatory risk more effectively.

  • Validation and reconciliation are performed at speed and at scale, with results available shortly after data is submitted for checking. Large datasets can be processed efficiently without sampling, allowing firms to review 100% of their reports, not just a subset.

    This enables near-real-time insight into data quality and faster resolution of issues before they escalate.

  • Yes. Qomply works alongside your existing reporting setup. Whether you submit via an ARM, third-party vendor, or directly to the FCA, Diagnostic Auditor provides an independent layer of quality assurance.

    It does not replace your submission channel as it strengthens it by validating and reconciling what you send and what the regulator receives.

  • No specialist technical expertise is required. Diagnostic Auditor is designed for compliance, operations, and reporting teams, with clear dashboards, plain-English issue descriptions, and actionable outputs.

    For firms that want deeper integration or automation, APIs are available. Day-to-day use does not depend on technical resources.

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