Managed Services

1. You delegate

Firms delegate their transaction reporting operations to Qomply. From that point on, Qomply operates as a centralised reporting hub, ensuring day-to-day reporting activities are executed while you retain full oversight and control.

2. Data is ingested and reports are constructed

Qomply ingests your transaction data, either as a fully-formed report or as data points. Qomply may also enrich data, if required, during this step.

3. Forensic validation before submission

Every report is subjected to forensic-level validation and accuracy checks. Issues such as missing data, incorrect mappings, or regulatory inconsistencies are identified before submission—reducing errors, rework, and regulatory exposure.

4. Exception handling and operational support

Any issues or exceptions are Investigated, Resolved or Escalated where appropriate.

Qomply provides first-line operational support, managing exceptions both pre- and post-submission, so your internal teams are not pulled into day-to-day reporting firefighting.

5. Controlled submission and monitoring

Qomply manages the submission process and monitors report status, ensuring transparency, traceability, and timely resolution of any submission-related issues.

6. Ongoing reconciliation and audit readiness

Reports are reconciled on an ongoing basis to ensure completeness and accuracy. This provides continuous audit readiness and confidence that what was reported matches what the regulator received.

Regulatory change is continuously monitored, interpreted, and embedded directly into Qomply’s technology and operating processes. Updates to validation rules, market conventions, and regulatory best practices are automatically incorporated into the platform, ensuring reporting remains current without disruption.

Qomply’s technology and expert team are updated ahead of regulatory go-live dates, so firms are prepared well in advance. For major regulatory rewrites or changes that require new or amended input files, Qomply orchestrates the transition end to end, removing complexity and burden from internal teams.

While the operational aspects of transaction reporting - including systems, processes, and day-to-day controls - can be delegated, governance and regulatory oversight always remain the responsibility of the firm and cannot be outsourced.

Qomply makes this straightforward by providing firms with a centralised dashboard that delivers full visibility over daily reporting activity. Firms can monitor workflows, review KPIs and reporting metrics, and maintain confidence that reports are submitted accurately and on time.

Qomply’s Managed Services support all major transaction reporting regimes globally. In the UK and EU, MiFID remains the most commonly delegated regime, with firms relying on Qomply to manage end-to-end reporting operations.

Across the G10 regimes, the focus shifts toward ongoing reconciliation, including the detection of open positions and mismatches between internal records and reports submitted to Trade Repositories. For regimes such as EMIR, CFTC, and CSA, many firms - particularly smaller or resource-constrained organisations - rely on Qomply to perform periodic and rolling reconciliations.

For CFTC and CSA, the 30-day rolling reconciliation requirement sits at the core of regulatory expectations, and Qomply’s Managed Services are designed to ensure firms meet these obligations consistently and with confidence.

Yes. Firms are at liberty to decide where, in the reporting chain, they would like to engage the Managed Services.

Firms that have provisions in place may elect to utilise the Managed Services after they generate the reports. Smaller firms tend to engage Qomply for complete report construction and enrichment. Firms are free to choose which services they would like as part of the Managed Service package.

Absolutely. Qomply’s Managed Services are fully flexible. Firms can scale services up or down at any time, including transitioning reporting activities back in-house when they are ready.

Some firms use Managed Services during periods of growth, regulatory change, or while building an internal reporting team. Others choose to expand their use of Qomply over time, reducing or removing the need for in-house reporting resources altogether.