UnaVista partners answer the most frequently asked MiFID II questions.
London Stock Exchange has a range of partners which combined with UnaVista’s flexible technology allow our customers to gain operational advantage. By leveraging distribution, implementation, and specialist consultancy partners and merging complementary skills and experience, we can deliver greater efficiency to our clients in a market with rising regulatory pressures and constant operational risks.
London Stock Exchange Group recognises that technology is only part of solving business challenges. Clients require a mix of business expertise and advice to create the very best overall solutions to enable competitive advantage and to reduce risks and costs. By using one of our partners you will find experienced professionals who are passionate about solving issues from technology, regulatory and operational risk.
If you are interested in using one of our partners or to register to become a UnaVista partner, please contact our Partnership team at PartnerWithUnaVista@lseg.com.
AlphaDesk provides the essential tools for real-time portfolio management, trading, accounting and operations needed by fund managers. The functionality is delivered through a single, fully integrated cloud-based application that is easy to use and highly cost-effective to deploy. The system is truly multi-asset class, multi-currency and multi-custodian. http://alphadesk.com/
Arbor Financial Systems provides a suite of applications and services for both the buy and sell side industry. With our unique experience and business approach, we have developed an intuitive suite of products that are a delight to use. Our flexibility in integration, stable performance and of course a great product, enables the Arbor system to be the inner core strength of your organisation. http://www.arborfs.com/
AutoRek is a global provider of financial controls, data management and regulatory reporting software. Our suite of solutions include compliance and regulatory reporting solutions, including CASS and MiFID II Transaction Reporting, financial controls frameworks, balance sheet certification/account attestation, high volume data migration and automated cash allocation. Key benefits from implementing Autorek include; mitigating risk of regulatory breaches, real time insight into status and exposure, reduced dependency on manual processing, single repository for control frameworks and management, automated workflow for governance and audit, efficient electronic sign off and record retention and adaptability to meet new regulatory requirements. http://www.autorek.com/
The Avaloq group is an internationally leading fintech company. With its core banking software, the Avaloq Banking Suite, and its international network of BPO centres, Avaloq brings trustworthy and efficient banking to the world, delivered through great user experience. With its integrated BPO services, Avaloq is the only independent provider for the financial industry to both develop and operate its own software. https://www.avaloq.com/
AxiomSL's cutting edge technology positions us as the industry standard for IT infrastructure and business solutions. The new technologies adapted into our architecture provide for added strength, scalability and flexibility never before seen. This gives our clients the ability to make business critical decisions, adapt to constantly changing business environments and the ability to succeed within the organization throughout mergers & acquisitions. https://axiomsl.com/
BroadPeak develops the leading regulatory integration platform, K3. With over a quarter of a billion trades reported, K3 seamlessly streams, validates and simplifies the reporting process. http://broadpeakpartners.com/
Founded in 2002, Catena Technologies specializes in financial services technology (FinTech) architecture and the design of business process management (BPM), enterprise integration, and enterprise content management. Catena’s TRACE Reporting system enables financial institutions to report trades to regulators. Catena TRACE Reporting manages all functional requirements for trade reporting, including cross-asset coverage, valuation and collateral reporting, reconciliation, and multi-jurisdiction support, including ASIC, MAS, HKMA, JFSA, EMIR, and MiFID II. http://www.catena-technologies.com/
Charles River enables sound and efficient investing across all asset classes. Over 350 firms worldwide use Charles River IMS to manage more than US$ 25 trillion in assets in the institutional investment, wealth management and hedge fund industries. Our Software as a Service-based solution automates and simplifies investment management on a single platform - from portfolio decision support and risk management through trading and post-trade settlement, with integrated risk and compliance throughout. Headquartered in Burlington, Massachusetts, we support clients globally with more than 750 employees in 11 regional offices. https://www.crd.com/
Dion Global Solutions is a trusted global financial technology company with expertise in building software solutions for wealth management & asset administration; retail & institutional trading and settlements; FATCA, CRS & other tax compliances; real time payments; bank connectivity & case management; data lifecycle management platform; and GRC audit. With presence in over 17 cities across 12 countries for over two decades, company has built in-depth business and technology expertise to serve the specific and localised needs of financial services firms across the globe. Dion has over 500 clients in more than 85 countries supported by a worldwide staff of nearly 500, including more than 250 in product development. http://www.dionglobal.com/
With over 40 years of experience, DTCC is the premier post-trade market infrastructure for the global financial services industry. From operating facilities, data centers and offices in 16 countries, DTCC, through its subsidiaries, automates, centralizes, and standardizes the post-trade processing of financial transactions, mitigating risk, increasing transparency and driving efficiency for thousands of broker/dealers, custodian banks and asset managers worldwide. DTCC’s Global Trade Repository is the industry's preferred provider for global OTC derivatives reporting. GTR holds detailed data on OTC derivatives transactions globally and has grown to become the largest trade repository in the world, providing new insight and perspectives to better monitor and respond to the regulatory reporting requirements of our clients. It maintains approximately 40 million open OTC positions per week and processes over one billion messages per month. http://www.dtcc.com/
Eurobase is a London-based, international solution provider to banks and other financial institutions in over 25 countries. Eurobase provide a range of modules that provide MiFID II compliance, transform front office Treasury operations and provide a superior customer experience through white-labelled trading and payment web portals. A cost-effective end-to-end solution that maximises opportunities to benefit from the ever changing banking environment. www.eurobase.com
Evolute provides a comprehensive and digital wealth management solution for independent asset managers. Our solution consists of services, technology as well as operations and are well-rounded yet modular. Well-rounded, because the various components, designed from scratch, interlock perfectly and are tailored to one another so that they work together efficiently. Modular, because we tailor what we offer to our clients' needs. http://evolute.com/
Eze Software is a global leading provider of investment management software solutions designed to optimize operational and investment alpha throughout the entire investment process. Eze Software provides the platform for growth for the entire investment management community, maximizing efficiencies across order management, trade execution & analytics, portfolio analytics & modeling, compliance & regulatory reporting, commission management, and portfolio & investor accounting. For more than 20 years Boston-based Eze Software has been driving innovation in financial technology. https://www.ezesoft.com/
FactSet (NYSE:FDS | NASDAQ:FDS) delivers superior analytics, service, content, and technology to help more than 85,000 users see and seize opportunity sooner. We are committed to giving investment professionals the edge to outperform, with fresh perspectives, informed insights, and the industry-leading support of our dedicated specialists. https://www.factset.com/
Finastra unlocks the potential of people and businesses in finance, creating a platform for open innovation. Formed in 2017 by the merger of Misys and D+H, we provide the broadest portfolio of financial services software in the world today—spanning retail banking, transaction banking, lending, and treasury and capital markets. Our solutions enable customers to deploy mission critical technology on premises or in the cloud. Our scale and geographical reach means that we can serve customers effectively, regardless of their size or geographic location—from global financial institutions, to community banks and credit unions. http://www.finastra.com
GBST (ASX: GBT), provides global technology services to the financial services industry, addressing our clients' constant needs for innovation, competitiveness and responsive IT that truly enables business. Listed on the Australian Securities Exchange, GBST has offices throughout Australia, London, Hong Kong and New York as well as operations in Paris and Singapore. http://www.gbst.com/
GoldenSource's software, services and expertise enable firms in the financial markets to manage risks, comply with regulatory requirements, and control costs in the middle and back office with a trusted source of complete, consistent information. Its products source, standardize, validate and deliver mission critical market, reference, customer, position and transaction data to the people and systems that need it, such as trading, compliance, risk management, settlements, and accounting.. http://www.thegoldensource.com/en/
Hedgd designs innovative, enterprise grade, OMS software that enables investment managers to take control of data, costs and productivity. Hedgd was founded with the vision of delivering innovative and affordable products which enable financial services firms to focus on generating returns. https://www.hedgd.com/
IHS Markit (Nasdaq: INFO) is a world leader in critical information, analytics and solutions for the major industries and markets that drive economies worldwide. The company delivers next-generation information, analytics and solutions to customers in business, finance and government, improving their operational efficiency and providing deep insights that lead to well-informed, confident decisions. IHS Markit has more than 50,000 key business and government customers, including 85 percent of the Fortune Global 500 and the world’s leading financial institutions. https://ihsmarkit.com/
IMP Consulting was launched in 2004 to help asset management firms succeed when they implement, upgrade or replace their trading and compliance systems. Our clients include 4 of the top global asset managers. As trade order management and compliance experts, IMP helps asset managers capture the information that they will need to meet MiFID II/MIFIR requirements. IMP's clients benefit from their experience, gained from similar engagements deployed on UnaVista's roster of leading partner order management platforms. A sample of IMP’s MiFID II services include: search & selection, advisory services, workflow configuration/adjustments, data enrichment, data mapping, reporting, compliance and more. http://www.impconsults.com/mifid2preparation
IMVS has experience of a wide range of financial services organisations and provides products and services from partial to total solutions. The members of our business team are experienced practitioners and consultants within the industry and provide assistance and guidance to ensure that best practices are established.
Our technical team understand and advise on all operational and IT requirements, including hardware, networking and websites. IMVS provides, and uses market-leading database, programming, server and networking tools to produce robust and efficient solutions. http://www.imvs.com/
INDATA is a leading specialized provider of software, technology and services for buy-side firms, including trade order management (OMS), compliance, portfolio accounting and front-to-back office delivered via iPM Epic® - the industry's first investment technology platform specifically designed for the era of big data.
INDATA provides software and services to a variety of buy-side clients including asset managers, registered investment advisors, banks and wealth management firms, pension funds and hedge funds. Assets under management range from under $1 billions to more than $100 billion across a variety of asset classes (i.e. equity, fixed income, etc.) both domestic and international. http://www.indataipm.com/
Investment Software Limited (ISL) is an entrepreneurial software company that produces financial software applications, focusing on the Wealth, Investment and Fund Management industries (IMiX). Investment Software Ltd is a best of breed front to middle office Portfolio Management software with Modelling, Performance, CRM, Tax, Compliance and Client Reporting. http://www.investmentsoftwareltd.com/
JHC - take control, create momentum, accelerate growth. JHC’s technologies equip wealth managers to meet the challenges of the future. Operational frameworks and processes that were limiting, fragile and inconsistent become scalable, robust and sustainable. Free of the confines imposed by legacy IT, managers are able to make rational and compliant decisions, confident of their facts. Today, sixty one financial institutions with AUM in excess of £150bn depend on JHC Figaro and JHC Neon http://www.jhc.co.uk/
The JobRouter Group is a global leading provider of cross-industry process automation solutions. With this, JobRouter supports companies to optimise their workflow, messaging connectivity and provide STP solutions for the financial services. These solutions can be deployed in the cloud. JobRouter has recently launched a Compliance and Regulatory solution to address the forthcoming MiFID II reporting obligations. http://www.jobrouter-workflow.com/en/optimized-business-processes.html
Kaizen Reporting is a specialist regulatory reporting assurance firm focused exclusively MiFID I, MiFID II, EMIR and other G20 reporting regimes. Kaizen delivers confidence and certainty for financial firms large and small through its pioneering testing technology and unparalleled industry knowledge. https://www.kaizenreporting.com/
Kx was founded in 1993 by Arthur Whitney and Janet Lustgarten to address a simple problem: the inability of traditional relational database technology to keep up with escalating volumes of data. Since the company’s inception, Kx’s singular goal has been to provide its customers with the fastest, most efficient, and most flexible tools for processing real-time and historical data. This focus has enabled us to become the worldwide leader in high-volume, high-performance databases. https://kx.com/
For more than a decade Liquidity Book has powered some of the industry's most sophisticated and demanding trading desks through its advanced suite of trade management products. As a fully-hosted platform, Liquidity Book's portfolio, order and execution management systems (POEMS) for both the and buy- and sell-side, as well as its connectivity and risk solutions, provide a flexible, cost-effective platform for use across counter-parties, asset classes and geographies. http://www.liquiditybook.com/
MAP Fintech is a trusted technology provider to the financial services industry specializing in regulatory reporting, with clients and associates worldwide and takes pride in its mission to enable clients to achieve best results. It is highly regarded for its innovative technology and services innovation. http://www.mapfintech.com/
Message Automation, part of Broadridge Financial Solutions, is the leading specialist provider of post trade control solutions. We help banks and buy-side firms manage the challenges of new regulations and market practices across all asset classes in OTC, ETD and fixed income. Our single consolidated solution for Trade and Transaction Reporting is multi-jurisdiction including Dodd-Frank, EMIR and MiFID1/2. From the same platform we offer trade-flow connectivity covering House/Client Clearing, Execution, Affirmation/Confirmation; and harmonisation of reports from CCPs and exchanges. http://www.messageautomation.com/
Objectway is a leading provider of financial software and digital solutions to the worldwide financial services industry, with clients in 15 countries. Its award-winning software platforms are the trusted choice of leading wealth and investment management firms across the globe - from EMEA to Canada to Central America.
From its offices in UK,Italy, Ireland, Belgium and South Africa, Objectway has more than 500 employees supporting approximately 100,000 investment professionals to manage more than one trillion euros in wealth. http://www.objectway.com
A wholly-owned subsidiary of market-leading Risk Focus, RegTek is unique in providing clients with a service level agreement guaranteeing clients compliance. We are committed to providing clients with the highest levels of control and compliance solutions to keep them ahead of new regulations, requirements and deadlines. With offices in New York, London and Riga, RegTek’s expertise and solutions are relied upon by the world’s top brokers, banks, clearing houses and hedge funds. The RegTek global trade and transaction reporting suite of solutions includes Validate.Trade, Reportable.Trade, Load.Trade and new in 2017, Reconcile.Trade. https://regtek.solutions/
SiGrade, a member of Cedacri Group, has a strong focus on software solutions for the Banking & Finance sector, in particular on Security and Derivatives management software.
The company offers a wide range of products and services: a wide portfolio of software packages and solutions that can easily be integrated in the existing ICT systems of client institutions; design and development of custom software solutions; application management of third-parties' and proprietary applications; expert consultancy. http://www.sigrade.it/sigrade/it/index.html
SIX operates Switzerland’s financial market infrastructure and offers on a global scale comprehensive services in the areas of securities trading, clearing and settlement, as well as financial information and payment transactions. The company is owned by its users: approximately 130 banks of various size and orientation. Thanks to our IT infrastructure, Switzerland is now one of the highest-performance financial centers in the world. We serve an international clientele and have a presence in 24 countries in addition to Switzerland. https://www.six-group.com/about/en/home/corporate.html
SteelEye is a solution which helps you consolidate information and conform your trade and communications data to fulfil your regulatory obligations, specifically relating to Record Keeping, Transaction Reporting (to an ARM), Trade Reconstruction and Best Execution.
SteelEye gives you powerful insights into your trading activities, helping you to trade with greater efficiency and profitability.
A fully-open API framework lets you visualise and interpret your data in a way that suits you. https://www.steel-eye.com/
TORA is the leading global provider of advanced investment management technologies supporting the full trading lifecycle. With a full suite of SaaS-delivered execution, analytics and compliance tools, as well as order, portfolio and risk management capabilities, TORA’s products are utilized by hundreds of the industry’s leading hedge funds, asset managers, proprietary trading firms and sell-side trading desks globally. With headquarters in San Francisco, TORA has over 250 employees across offices in Jersey, Tokyo, Hong Kong, Singapore, Sydney and Cluj-Napoca. More information is available at www.tora.com.
Inferno is a sell-side post-trade processing platform for multiple asset-classes which integrates middle, back-office, compliance, treasury and accounting functions or can be provided as standalone modules. Clients reduce operational cost and decrease risk; as well as remaining adaptable to the evolving financial industry and remain compliant to regulatory changes.
Torstone was borne from a management buy-out of the securities and derivatives post-trade processing business from a global investment bank. As a result, Torstone's technology has been developed with first-hand knowledge of the regulatory and industry issues faced by the sell-side. http://www.torstonetechnology.com/
TRAction exists to make it easy for you to seamlessly report transactions and open positions across all OTC derivative asset classes with built in reconciliation and monitoring capabilities. Even for the most well prepared and resourced compliance departments navigating trade reporting regulations can be confusing and frustrating. That’s why smart brokers use TRAction Fintech. Trade Reporting Simplified. http://www.tractionfintech.com/
Wipro Ltd is a leading Information Technology, Consulting and Outsourcing company that delivers solutions to enable its clients do business better. Wipro delivers winning business outcomes through its deep industry experience and a 360 degree view of "Business through Technology" - helping clients create successful and adaptive businesses. A company recognized globally for its comprehensive portfolio of services, a practitioner's approach to delivering innovation, and an organization wide commitment to sustainability.. http://www.wipro.com/