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Regulatory Compliance
Insight and value that goes beyond requirements.
trusted solutions with regulatory expertise

Trusted solutions with regulatory expertise

Activating a compliance strategy is difficult. We’re here to help with the flexible, consultative approach for which FactSet is known. We bring together industry expertise, reliably connected data, portfolio analytics and client reporting, and strategic partnerships to help you address many new and emerging regulations and standards.
Regulatory Compliance
    drive value beyond regulatory requirements

    Drive value beyond regulatory requirements.

    Because our regulatory solutions integrate seamlessly with FactSet’s powerful analytics, you can leverage the data you need to address compliance and find new answers in your multi-asset class portfolio and risk reporting. The research management solutions that you need to address aspects of MAR and MiFID II can mean enhanced data governance that drives better trading decisions, smarter investment recommendations, and increased profit potential. Adding data that addresses the “50% rule” on sanctioned companies can mean revealing corporate hierarchy and ownership structures that could uncover investment opportunities. The robotic search you use to answer KYC and AML policy demands can make your processes faster, lower costs, and improve your risk management.

    Insight Beyond Requirements
    expand data sources without taxing your resources

    Expand data sources without taxing your resources.

    Reduce the burden of managing multiple data sources and lower your total cost of ownership by using FactSet’s enterprise-wide data management as a single source for your regulatory reporting data. With a single data system, you'll understand your exposure better and address look-through requirements. FactSet gives you access to key reference data items including LEI, NACE and CICs, and thousands of the essential security and entity reference data items needed to meet regulatory requirements like Solvency II, FATCA, and MIFID II.

    Data Management
    have confidence in your compliance strategy

    Have confidence in your compliance strategy.

    We know that regulatory compliance management isn’t cut and dry but left to interpretation, knowledge, and judgement calls. Our regulatory solutions team is staffed with former regulators, regulatory consultants, lawyers, and industry specialists who have helped firms around the world identify and implement effective solutions. We’ll work closely with you to create the best solution for compliance given your business, clients, technology, and teams. Your processes will be minimally disrupted with the help of our implementation services. Once you’re up and running, our specialists will keep you up to date on new policy and changes—and as regulations evolve, so will our solutions.

    Implementation and Support
    keep data flowing in your systems

    Keep data flowing in your systems.

    Get a robust, low-maintenance data delivery solution that will scale with your regulatory needs through FactSet’s data feeds. These flexible, automated data solutions can integrate into your existing or legacy systems without creating an additional burden for your back office. FactSet takes care of aggregating and reconciling data from multiple suppliers ensuring you have complete and concordant data for the disclosure and reporting requirements of PRIIPs KIDs, N-PORT, and others.

    Flexible Delivery

    ESMA Liquidity Stress Testing

    Perform multi-asset liquidity stress testing within FactSet to meet compliance with ESMA liquidity requirements. Efficiently mitigate risk by running historical and custom stress-testing scenarios on your portfolios. Receive a range of key liquidity risk metrics, including projected trade volume capacity, days to liquidate, and market price impact to easily analyze and report on fund liquidity risk.

    Find out more about our liquidity stress testing solutions.

    Form N-PORT

    Meet the data demands of Form N-PORT reporting with our robust portfolio integration service. With the data built in to your portfolio analytics, you avoid duplicate processes for Form N-PORT portfolio reporting. Use FactSet’s calculation engine to fulfill Form N-PORT fixed income and derivative analytical requirements and receive broad Terms and Conditions coverage for your security universe.

    Read our article: N-PORT: How a delay in onerous new rules actually leads to more work

    Find out more about our N-PORT solution.

    MiFID II

    We can help you address research unbundling, best execution and order management, post-trade transparency, and client reporting requirements for MiFID II/MiFIR. Answer research unbundling and commission management with our research management solutions. For best execution, rely on our versatile execution management system that's flexible enough to implement your firm's order execution policy and rigorous enough to achieve and demonstrate your adherence to the new best execution standard. We can also help with order management, trade and transaction reporting, investor protection, and cost and risk disclosures.

    Download our guide on MiFID II/MiFIR transparency requirements.

    PRIIPs KIDs

    PRIIPS manufacturers: Meet the data demands of PRIIPs with FactSet’s portfolio data management service, which ensures secure, accurate, and consistent processing of portfolio data to reduce your burden of data management. Use our compliance-ready reporting solutions to deliver data necessary for PRIIPs and to produce standardized KIDs. Our monitoring tools will alert you when it is time to produce the KID and when there is a material change, and our regulatory document and data service will be there when you need to source PRIIPs metadata and KIDs.

    PRIIPs distributors: Our PrimeRDDS solution can help you source PRIIPs metadata and KIDs then sort, update, archive, and distribute this information.

    Solvency II

    FactSet gives you the industry’s most comprehensive and centralized solution to meet the data reporting requirements of Solvency II. We can create a solution that works for you with a combination of symbology, classifications, security and entity reference data, corporate and fund hierarchies, fixed income terms and conditions, derived analytics, portfolio characteristics, credit quality step, and look-through data.

    SEC Liquidity Rule

    Automate the monthly liquidity classification requirements for funds’ equity investments with FactSet’s SEC Equity Liquidity Classification Report. Our solution is cost-effective and uses a fully transparent, validated equity liquidity methodology with multiple default and user-defined variables. Avoid multiple vendors and duplicate processes by leveraging the data built into your portfolio analytics. Benefit from unparalleled ease of implementation with sample reports for your portfolio available within days.

    Read our article: SEC Liquidity Bucketing: provisional, verified, and final

    Watch the on-demand webcast: Meet the classification requirements for SEC Liquidity Rule 22E-4

    Find out more about our solution.

    Rule 18f-4

    Utilize FactSet’s multi-asset class risk model and portfolio analytics tools to implement an 18f-4 compliance operating model. FactSet enables relative and absolute VaR tests, stress testing, and backtesting, with associated monitoring and reporting capabilities on a single platform, supported by risk and regulatory subject matter experts.

    Get ready for SEC Rule 18f-4 with derivatives risk management.

    Other Regulations

    Our compliance specialists can help you build solutions for many other regulations and standards including: MAD/MAR, Benchmark Regulation (BMR), Dodd-Frank, FATCA, Rule 12d3-1, SEC 1940 Act, GIPS, IRS Section 871(m), and the U.S. DOL Fiduciary Rule. Talk to us about your challenges, and we’ll help you figure out the most effective solution—without disrupting your investment process.

    Specific Regulations

    Talk To Us

    The best way to understand what makes FactSet different is to see it for yourself. We've worked with investment professionals for 40 years, so we understand your workflow and know precisely how to help. Talk to us about your challenges, and we’ll help you design the most effective solutions for your firm with everything you need — and not what you don’t.

    Get Started