Regulatory Regimes
We support regulatory reporting across all major global jurisdictions — select a regime to learn more
EMIR
European Market Infrastructure Regulation
Dual-sided lifecycle reporting for OTC and exchange-traded derivatives to approved Trade Repositories.
MiFIR
Markets in Financial Instruments Regulation
Transaction reporting to National Competent Authorities via Approved Reporting Mechanisms (ARMs).
SFTR
Securities Financing Transactions Regulation
Reporting of repos, securities lending, margin lending and buy-sell back transactions to Trade Repositories.
ASIC
Australian Securities & Investments Commission
OTC derivatives transaction reporting under ASIC Derivative Transaction Rules, aligned with CPMI-IOSCO CDE.
CFTC
Commodity Futures Trading Commission
Swap data reporting under Dodd-Frank Parts 43, 45 & 49 with UTI, UPI and CDE field requirements.
Our Approach
The Point Nine Approach
Our Technology
Regulatory Reporting Technology
Peace of mind with our end-to-end solution. Proprietary technology powering over 15.8 billion reports across 779 legal entities worldwide.
Ingestion
Enrichment
Engine
Certification
Submission
& Audit
Our Service
Regulatory Reporting as a Service
Whether you need to report to a TR, ARM, or directly to an NCA, Point Nine provides a fully managed, end-to-end solution that removes the operational burden from your team.
Financial institutions, service providers, and corporations are required by regulators to submit precise and timely data to trade repositories (TR), approved reporting mechanisms (ARM), and national competent authorities (NCA). At Point Nine, we understand the complexities involved in meeting these demands.
Our state-of-the-art technology and end-to-end services are designed to alleviate the burden and make the process more efficient and dependable. We handle the full reporting lifecycle: data ingestion, enrichment, validation, file creation, submission, and ongoing reconciliation — so your compliance team can focus on strategic priorities.
Trade Repository
Direct connectivity to all major TRs globally
ARM Submission
Approved Reporting Mechanism for MiFIR obligations
NCA Direct
Direct reporting to National Competent Authorities
Client Benefits
Why Firms Choose Point Nine
A single platform that simplifies reporting across every jurisdiction, asset class, and format.
Multi-Jurisdiction Reporting
Report across multiple regulatory regimes from a single integrated platform.
All Asset Classes
Full coverage of derivatives, securities, SFTs, and all reportable instrument types.
Multiple Formats & Sources
Ingest data from any source format — CSV, XML, FpML, API — and transform to regulatory standards.
Delegated Reporting
Own your delegated reporting obligations with full visibility and control.
End-of-Day Reports
Comprehensive daily email reports covering submissions, exceptions, and status.
Automated Error Handling
Systematic exception management with automated retry logic and escalation workflows.
Timely & Quality Reporting
Meet every deadline with validated, high-quality submissions — consistently above 99% acceptance.
Platform Capabilities
Solution Features
A comprehensive platform covering every stage of the regulatory reporting lifecycle.
Automation
Fully Automated Solution
Zero-touch processing from ingestion through submission
Data Enrichment
Automated data completion from reference sources and internal rules
UTI Generation & Management
Unique Transaction Identifier creation, pairing, and lifecycle tracking
File Creation & Certification
Regulatory-compliant file formatting and digital certification
Validation
Regulatory Validations
Full rule sets as per ESMA, FCA, and other regulatory specifications
Bespoke Validations & Rules
Client-specific rules layered on top of standard regulatory checks
Exception Management
Automated exception routing, escalation, and resolution workflows
Success/Failure Notifications
Real-time alerts on submission outcomes and acknowledgment status
Reporting
Collateral Reporting
Margin and collateral data reporting as required under EMIR
Valuation Reporting
Mark-to-market and mark-to-model valuation submissions
Trade/Transaction/Position
Full lifecycle reporting across all action types and event types
End-of-Day Notifications
Comprehensive daily email reports on all submission activity
Infrastructure
TR & ARM Connectivity
Direct connections to all major Trade Repositories and ARMs
Full Audit Trail
Complete traceability of every data transformation and submission
P9 Web Portal
Client-facing dashboard for monitoring, analytics, and reporting controls
AWS Security & Compliance
Enterprise-grade security via Amazon Web Services, ISO 27001 certified