Weeks → Days
Submission preparation cycle
Full Lineage
Source to submitted value
Zero Errors
Pre-submission validation
2 hours
Ad hoc regulatory response
Client Snapshot
Industry
Capital Markets
Solution
Data Solutions | Process Solutions
Complexity
High
Delivery
Architecture + Implementation
The Problem
Capital markets regulatory reporting FRTB market risk sensitivities, EMIR trade reporting, MiFID II transaction reporting, and SEC/FINRA submissions is assembled at most mid-tier firms through spreadsheet pipelines, manual SQL extracts, and undocumented calculation logic held by a small team. When a key person leaves or a regulator requests a revised data cut on 48-hour notice, the institutional fragility of this architecture becomes immediately apparent.
Documentation debt compounds with every regulatory specification change. When the OCC updates a DFAST scenario or ESMA releases a revised EMIR field requirement, the change typically triggers ad hoc spreadsheet revision rather than a managed update to a documented, tested calculation pipeline. Each update cycle introduces new calculation variance risk that is invisible until a submission error surfaces under examiner scrutiny.
Ready to Start?
Schedule a Regulatory Reporting Assessment
Get a candid analysis of your current reporting pipeline fragility, lineage gaps, and modernization roadmap.
48 hours
typical regulator deadline for ad hoc capital markets data requests. Automated regulatory data infrastructure turns this into a 2-hour response. Manual pipelines turn it into an all-hands crisis that consumes staff capacity, produces inconsistent outputs, and signals data governance weakness to examiners.
How PiTech Delivers
01
Report-Back Architecture Design
Design begins with the report its specific data requirements, source-to-submission lineage, calculation logic, and validation rules then works backward to the data infrastructure required to produce it reliably. Every pipeline is built to satisfy the submission specification, not the other way around.
02
Version-Controlled Calculation Engine Implementation
FRTB sensitivities, CECL reserves, EMIR trade data fields, and MiFID II transaction report attributes implemented in documented, version-controlled code with defined test cases. Regulatory specification changes trigger a managed update cycle not ad hoc spreadsheet revision with undocumented changes.
03
Pre-Submission Validation Framework
Automated data quality, completeness, and calculation accuracy checks run before every submission cycle. Examiners never see calculation errors or data gaps that the institution’s own systems could have caught because the validation layer catches them first.
04
Audit Trail and Lineage Documentation
Proven Outcomes
Weeks → Days
Submission preparation cycle time reduction in deployed programs
2 hours
Typical ad hoc regulatory data request response time vs. days manually
25–40%
Program timeline compression through automated conflict resolution methodology
Proven Outcomes
18+
Years in Regulated Industries
What You Gain
Weeks → Days
Regulatory submission preparation cycle time
Full lineage
Source-to-submission traceability for all submitted values
Automated
Pre-submission validation catching errors before filing
2 hours
Ad hoc regulatory data request response vs. all-hands crisis
What's Included
Regulatory data mart
Regulatory data mart
Version-controlled calculation engine
Version-controlled calculation engine
Regulatory change management process
Regulatory change management process
Pre-submission validation framework
Pre-submission validation framework
Submission workflow automation
Submission workflow automation
Full audit trail system
Full audit trail system
Performance dashboard
Performance dashboard
Frequently Asked Questions
Which capital markets regulations does PiTech have the deepest implementation experience with?
PiTech has implementation experience with FRTB Standardised Approach sensitivities calculations, EMIR trade reporting data pipelines, MiFID II transaction reporting fields, DFAST stress testing data, CECL reserve calculations, and SEC/FINRA regulatory reporting data engineering. Multi-regulation programs that address overlapping data dependencies deliver the highest value.
How does PiTech handle FRTB sensitivities calculations specifically?
PiTech implements FRTB SA sensitivities calculations in version-controlled, documented code with defined test cases, delta/vega/curvature sensitivity specifications, and a change management process for regulatory specification updates. This replaces spreadsheet-based approaches with auditable, repeatable pipelines that can be independently validated by risk teams and examiners.
What happens when a regulator changes a reporting specification mid-year?
PiTech’s regulatory change management process monitors official publications for specification changes, conducts an impact assessment against deployed pipelines, implements and tests the updated calculations, and certifies the change before the first affected submission cycle. The process is documented and produces evidence of testing suitable for examiner review.
Can the regulatory reporting infrastructure support real-time intraday risk monitoring as well as periodic submissions?
Yes. PiTech designs the regulatory data mart to serve both periodic submission workflows and intraday risk analytics. The same data infrastructure that produces FRTB submissions can drive intraday VaR and sensitivity calculations the two use cases share underlying data infrastructure with different access patterns and calculation cadences.
How long does a regulatory reporting automation program take for a mid-tier broker-dealer?
A focused engagement covering two to three regulatory reports (e.g., FRTB and MiFID II transaction reporting) typically runs 9–14 months from discovery to production. Multi-regulation programs addressing overlapping data dependencies run 14–20 months. PiTech stages delivery to produce measurable cycle time improvement in the first 90 days through quick wins in pre-submission validation and data lineage documentation.
Regulatory reporting infrastructure is a compounding investment that pays returns on every submission cycle for years.
PiTech builds it right the first time with the lineage, validation, and change management processes that regulated capital markets programs require.
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Contact Details
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