Skip survey header

5th Annual Regulatory Reporting Survey – 2022

Welcome to Our Fifth Annual Global Regulatory Reporting Survey

Completing this survey should take less than 5 minutes.

Thank you for volunteering to participate in this important survey that will examine the current regulatory reporting environment for regimes such as EMIR, SFTR, MiFID, CFTC, SEC, JFSA and more.  The goal of this survey is to identify the regulatory reporting themes that have had the most impact over the last year and examine the challenges that lie ahead for the transaction reporting community.

In appreciation for taking the time to participate in this survey, all respondents will receive the survey results. The more data we gather the more accurate the results, so please feel free to share this survey with your colleagues and business partners.

Please note that all answers you provide will remain confidential.

Thank you for your participation.

SECTION 1: ABOUT YOU, YOUR FIRM AND YOUR REGULATORY REPORTING OBLIGATIONS
1. What type of organization do you belong to?
4. Which regulations does your company currently have to report under?
 
5. What is the monthly volume of your reported transactions across all regulations?
6. How do you report transactions?
7. If you are reporting directly to a TR/ARM/NCA, do you use external services for any of the following (click all that apply)
Conditional formatting based on question 6
 
7. If you use a 3rd party vendor for some or all of your reporting requirements, please[TN1]  name them (click all that apply)
 
7. Which TR/ARM do you use (regardless of whether you use a vendor or report directly)? (click all that apply)
8. Are you using any 3rd party for your reporting assurance?
9. If you are using a 3rd party for your reporting assurance, please name them.
 
9. Do you have a dedicated regulatory reporting operations team?
10. Does this dedicated reporting operations team cover multiple regimes?
 
10. How many people, globally, have regulatory reporting as a key part of their responsibilities

SECTION 2: REPORTING SOLUTIONS CHALLENGES, CHANGES AND REQUIREMENTS
 
11. Have you made changes to how you manage your reporting in the last 12 months?
12. If yes, what changes have you made? (click all that apply)
 
12. Do you plan to make changes in the next 12 months?
13. If yes, what changes do you expect to make (click all that apply)
 
13. If you currently do your regulatory reporting in house, and plan to keep it that way, what are the benefits that drive this decision? (click all that apply)
14. If you use a vendor, or plan to switch to a vendor, what are the reasons for this? (click all that apply)
15. What drives you to make changes to your reporting regulation solution? (click all that apply)
16. When thinking about your reg reporting solution, how important are the following aspects of that solution? Please rate from 1 (not important) to 5 (most important)
 
Space Cell Rating
Ease of use
Global coverage of regimes
Operational efficiency
Cost
Accuracy
Timeliness
Eligibility of reporting functionality
Ability to integrate updates/new regulatory requirements
Analysis tools
17. If you use a vendor, or plan to switch to a vendor, what are the reasons for this? Please rate from 1 (not important) to 5 (most important)
Space Cell Rating
Reputation
Pricing
Tech stack and scalability
Features
Client support
Customized offerings
Vendor reliability
Ability to manage multiple jurisdictions
Workflow management
Breadth of regulatory regimes covered
We do our reporting inhouse (click one star if you agree)
18. How ready are you for the below upcoming regulatory changes:
Space Cell CFTC RewriteEMIR RefitJFSA Rewrite
Fully ready and tested
Have begun preparation and confident will be ready on time
In early stages of planning
Have not considered it as yet
N/A – no obligation for specific regime
19. If you have an SFDR obligation, what are the main challenges (click all that apply)
 

SECTION 3: LOOKING FORWARD
 
19. What are your 2023 strategic regulatory reporting priorities? (Click all that apply)
20. What additional services would you like to add to your regulatory reporting processes? (Click all that apply)
21. Do you already use managed services for regulatory reporting?
22. What managed services, if any, would you like to add to your regulatory reporting processes? (Click all that apply)
22. Are you planning to support CDM and standardize formats across your back-office systems?
23. Thank You for participating in this survey

Please leave your details here so we can send you the survey results.
This question requires a valid email address.
0%