Countdown to MiFID II

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RegTech Data Management and Reporting Solutions
Surveillance, Analytics and Compliance.

Turn your regulatory compliance into a competitive advantage with fast and reliable RegTech data management and reporting solutions from Kx

MiFID II Solution Brief (pdf)

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Data Management and Analytics for Changing Regulatory Regimes

  • Market and Trade Surveillance

    Market and Trade Surveillance
  • MiFID II Market
    Transparency

    MiFID II Market Transparency
  • Kx Data Refinery

    DaaS
  • Consolidated Audit Trail
    (CAT)

    Consolidated Audit Trail (CAT)

Professional Services to Support Technology

As a complement to Kx technology, First Derivatives Regulatory and Compliance Practice boasts practical, execution-focused professionals who implement change across prudential, market structural, and conduct-related regulatory regimes. The technology DNA of Kx coupled with the business insight of FD’s Regulatory and Compliance Practice present a unique perspective on deploying technical solutions for regulatory purposes and the common challenges that often occur.

Deep domain knowledge, regulatory understanding, and technology DNA drive the engagements we undertake across European, US, Canadian, and Asian regulations, ultimately delivering solutions for our clients for current and anticipated regulatory demands.

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Market and Trade Surveillance

Built on the world’s most performant time-series platform, Kx for Surveillance offers real-time, T+ 1 and on-demand Surveillance capabilities with first, second and third lines of defence catered for in a single solution.

Key attributes of the solution include:
• Out of the box Surveillance solution
• Full library of MAR / REMIT models
• Support of all asset classes
• Global platform with unparalleled performance and scalability
• Configuration and granularity of models and thresholds

Kx for Surveillance offers unparalleled flexibility on top of a core surveillance platform used by numerous trading organisations including finance, energy and commodities.

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MiFID II Market Transparency

At its core MiFID II compliance is about data, and Kx has many years’ experience in dealing with the key data management challenges that institutions face:

• Large volumes of internal and external data;
• Data shackled in silos and legacy applications;
• Lack of data being harmonized to a common meaning;
• Data cleanliness and presentation; and,
• Data consistency across applications.

Kx’s solution combines strategic thinking and tactical reaction to enable meeting not only the MiFID II obligations of today, including Best Execution Monitoring and Best Execution Reporting (RTS 27 & 28), but also the evolving regulatory demands of tomorrow.

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Kx Data Refinery

Kx Data Refinery adds value throughout the organization by providing quants, auditors and compliance terms access to a common, consistent and validated source of data that they can query easily, perform calculations on and share securely with others.

It is designed to take the data management and processing burden away from the user and let them concentrate instead on exploiting its potential.

Kx Data Refinery is built on Lambda/HTAP architecture and provides a high performance platform for time-series operations on both real-time and historical data seamlessly.

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Consolidated Audit Trail (CAT)

Solving the CAT reporting challenge is a complex internal discussion for the broker/dealer community. Gathering together all the required data elements in an operationally efficient manner is now capturing most of the attention. What then?

Kx for CAT is a full stack solution built to publish reports to the CAT Utility and communicate with your front- and middle-office systems. It collects all order event data in native messaging formats, configures it to a unified data model for multi-application usability, and further configures CAT specific message fields to the CAT data model. It publishes the report, receives the exceptions file, and manages the correction/resubmission processes.

Kx for CAT maintains a full audit log with state recreation and market reconstruction capabilities, in a regulatory compliant and performant datastore.

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