Experience Seamless Compliance with
RegAssure’s Innovative Tools

Our technology not only ensures full regulatory adherence but also enhances operational efficiency,
giving you peace of mind and more time to focus on growth.

Accuracy

RegAssure Accuracy

Efficient and comprehensive software platform that will allow you to test the accuracy of your…

Completeness

RegAssure Completeness

Configurable software solution that will allow you to compare your front-office records…

Middleware

RegAssure Middleware

Fully automated, flexible, accurate and complete Regulatory Reporting. Cater to MiFIR, EMIR,…

Back Reporting

RegAssure Back Reporting

Platform to identify errors in the transactions and remediate automatically. Most efficient and…

Who We Are: Reg-X, Your Compliance Technology Leader

Regulatory reporting can be a challenge for compliance, risk and operations teams due to its increasing complexity. This complexity results in higher costs, demanding time frames and risks of issues and breaches in reporting. Regulatory reporting data is used by regulators for various purposes such as investor protection and market abuse detection.

View More

Navigating Compliance Challenges:
Expert Tips and Advice

Introduction In today’s highly regulated financial environment, the need for accurate, complete, timely, reliable, and readily accessible records has never been more critical. Increasingly, financial firms are receiving formal requests from regulators regarding MiFID II Directive (Directive 2014/65/EU) RTS 24 (Venue obligation) and Article 16(6) and 16(7) (investment firm obligation) data submissions. These regulatory inquiries … Read more “New Guidance from Reg-X: Why Firms Must Be Ready for MiFID II RTS 24 and Article 16(6) and 16(7) Annex IV Record-Keeping Requests” [...]Read more...
The Commodity Futures Trading Commission (CFTC) has introduced new guidelines on self-reporting, cooperation, and remediation, setting clear expectations for how firms should handle trade and transaction reporting. For firms operating in the derivatives market, this is a wake-up call. The CFTC’s Mitigation Credit Matrix now directly links penalty reductions to a firm’s ability to self-report, … Read more “CFTC’s New Compliance Expectations: Why Accurate & Complete Reporting is More Important Than Ever” [...]Read more...
Under MiFID II, financial firms are required to maintain accurate and complete records to comply with regulatory obligations. However, many firms struggle with slow response times and poor data quality when providing information to regulators—sometimes taking more than six months to respond to a request. With increasing regulatory scrutiny, firms must ensure their order and … Read more “MiFID II Record Keeping: Ensuring Compliance with Speed & Accuracy” [...]Read more...
In January 2025, the UK’s Financial Conduct Authority (FCA) issued its first fine for transaction reporting failures under MiFIR (Markets in Financial Instruments Regulation). The case involved Infinox Capital Limited, which failed to submit a significant number of transaction reports between October 2022 and March 2023. This major compliance breach highlights the critical need for … Read more “The FCA’s First MiFIR Fine: Why Accurate Regulatory Reporting is Essential for Compliance” [...]Read more...
The end-of-year festive season presents unique challenges for trade and transaction reporting. As businesses wrap up their annual operations and technology releases are paused or frozen, ensuring compliance amidst reduced staffing and increased reporting workloads becomes critical. Here’s an overview of the hurdles firms face during this period and how to address them effectively. Key … Read more “Navigating Trade Transaction Reporting During the Festive Season” [...]Read more...
The FCA’s Market Watch 81 newsletter is essential reading for compliance and regulatory reporting professionals, providing in-depth insights into current regulatory expectations for the UK’s financial services sector. This edition addresses the growing need for robust change management, accurate reporting frameworks, solid data governance, effective control structures, and strong governance oversight. As the regulatory landscape … Read more “Market Watch 81: Key FCA Insights and Implications for Financial Compliance” [...]Read more...
With the end of Daylight-Saving Time, UK financial firms face a shift in timekeeping that could affect regulatory reporting compliance. Regulatory frameworks like MiFID II, EMIR, and SFTR impose stringent timestamp and sequence requirements on trade and transaction reporting, meaning that one-hour difference will create challenges in accuracy, completeness, and cross-border consistency. For reporting organisations, … Read more “The Impact of Daylight-Saving Time Ending on Regulatory Reporting in the UK” [...]Read more...
Client: A Prominent Broker based in London Industry: Financial Services Challenge: Data accuracy, incomplete transaction data, UPI and UTI generation methodology Overview At Reg-X Innovations, we specialise in helping clients navigate the complexities of regulatory compliance with ease. One of our clients, a prominent broker based in London, was facing significant challenges with data accuracy … Read more “Case Study: How Reg-X Innovations Streamlined Regulatory Compliance for a Prominent London-Based Broker” [...]Read more...
In the fast-paced world of financial services, regulatory compliance is a non-negotiable aspect of doing business. Regulatory bodies such as the Financial Conduct Authority (FCA), European Securities and Markets Authority (ESMA), and the Australian Securities and Investments Commission (ASIC) have introduced stringent guidelines that require firms to adhere to strict reporting obligations. While these regulatory … Read more “The Hidden Costs of Non-Compliance: Unseen Impacts on Brand and Operations” [...]Read more...

View More

Get Started
With RegAssure Today

Take the first step towards effortless compliance management. Contact us now to learn how RegAssure can streamline your regulatory processes.

Please enable JavaScript in your browser to complete this form.

Our Clients
RegAssure’s Success Stories

Our technology not only ensures full regulatory adherence but also enhances operational efficiency,
giving you peace of mind and more time to focus on growth.

Tier 1 investment bank:

Reg-x breach management has enabled us to automate one of the key process of reporting breaches. It has helped in reducing number of hours regulatory operations spend on breach tracking and focus more on key remediations. This has reduced our operational risk.

Large Asset Manager

Breach management is one of the most innovative products we have seen in regtech space this year. Combined with expertise in regulation and experience in regulatory change, Reg-x is one of important businesses which financial services industry should use.

Asset Manager

We have a small regops group. Reg-x products has enabled us to manage our compliance seamlessly and effectively. One of the great feature is of reports, where the latest status of the report can be downloaded and sent to NCA directly.