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Regulatory and Compliance Support for Implementation of Policy, Procedures and Reporting

Regulatory and Compliance Support

The changing global regulatory landscape is creating need for tighter operations control and reporting. eClerx helps our clients address and implement the regulatory requirements of jurisdictions across the globe. It is not just a question of complying with new rules. We help our clients deliver data and reporting to the regulatory authorities in a timely, cost effective manner. We understand both how the rules are applied and what the implications are for our clients’ business and financial reporting. eClerx prepares our clients to address these regulations with ease, by leveraging our processes and technology to achieve their objectives effectively and efficiently.


  • ​Need for centralization of processes and data for regulatory reporting and compliance
  • Inability to deliver on global hub based approach
  • Lack of information and knowledge on protocols and important deadlines
  • Reputational and penalty risk due to non compliance
  • Evolving regulatory guidelines with short time frames to implement the changes
  • Need for technology upgrades and system analysis in line with requirements
  • Issues with availability, completeness and consistency of data and reporting


  • Dodd-Frank Support 
    • Provide support to implement latest policies concerning OTC Derivative Trading and initiatives such as the ISDA Dodd-Frank protocol implementation
    • Assist in establishment of swaps trade reporting
  • FATCA Support 
    • Validate legal hierarchies using client approved information sources
    • Assist with W-8 & W-9 tax form entry and audits, to ensure accurate withholding
  • Cost Basis Remediation
    • System remediation to update portfolio basis to meet cost basis reporting requirements
    • Maintain client accounts’ integrity in relation to corporate actions as they impact cost basis for tax calculations
  • KYC Compliance Support
    • Perform extensive KYC review of entities to check legitimacy of clients and renew risk levels based on current risk rating mechanism
  • Process Documentation
    • Understand project objectives, scope and timelines; elicit process information
    • Review as-is process documentation and present process optimization opportunities


  • Proactive monitoring of compliance with regulation related to unauthorized trading activities
  • Mitigate impact of spikes back-loading/transfer by deploying a cross-trained and flexible resources pool
  • Ensure regulatory requirement are met on a timely basis
  • Legal risk identified through systematic flagging of corrupt docs and non-standard language
  • Consistent and cleansed data facilitating accurate data in client systems, resulting in accurate reports
  • Enable business to identify challenges in current processes and setup best practices to improve operational performance across functions