Reguliant®
Reguliant® — Real-Time Regulatory Intelligence
Every trade generates data. Every rule imposes an obligation.
Reguliant maintains both in sync.
It offers real-time compliance, reporting, and internal audit control across all systems and jurisdictions. Designed for institutions that need to demonstrate accuracy, speed, and transparency at scale, it integrates regulatory and operational data into a continuously verified framework.
Designed for today’s requirements. Ready for future mandates.
Unified Oversight
Reguliant replaces fragmented reporting and monitoring tools with a single, connected compliance layer. It seamlessly integrates with in-house, vendor, and market systems to provide a unified operational view from a single source of truth.
AI Operations Agents
Human-supervised agents oversee workflows, identify exceptions, and automatically generate reports. They speed up reconciliation, preserve complete audit trails, and adapt based on institutional feedback.
Dynamic Rules Engine
Continuously updates to reflect new or revised SEC, FINRA, ESMA, FCA, MAS, and APAC regulations. Regulatory and user-recommended enhancements are incorporated on an ongoing basis.
Ad-Hoc & Scheduled Reporting
Allows compliance teams to quickly design, schedule, and generate custom internal or regulator-aligned reports, no coding required, no IT queue.
Smart Integration Fabric
Open APIs connect through ISO 20022, FIX, SWIFT, and SFTP protocols to OMS, clearing, and custodial systems. Reguliant is fully agnostic and compatible with both internal and competing infrastructures.
Low-Disruption Rollout
Modular deployment connects to existing data sources and workflows. New regulatory reports are designed, built, and fully tested in an average of 90 days (60 days for design & development, 30 days for testing) thanks to the platform’s configurable framework.
Centralized Regulatory Repository
Collects, standardizes, and verifies data from trading, settlement, treasury, and finance systems within a unified structure. Tracks each field and transformation for complete lineage, ensuring consistency across all submissions. Serves as the primary data source for reporting, audits, and analytics, eliminating redundancy and automatically reconciling discrepancies across systems.
Automated Reporting & Validation
Produces and transmits reports for CAT, EMIR, MiFID II, TRACE, SFTR, FOCUS, and other jurisdictional requirements on schedule or in real time. Built-in logic checks for completeness, accuracy, and timeliness before sending. Exceptions are automatically flagged for review, eliminating re-filing risk and ensuring transparent audit documentation for each submission.
Internal Ad-Hoc Analytics
Allows compliance and operations teams to query live data without using code or relying on IT. Facilitates quick creation of internal, regulatory, or board-ready reports filtered by entity, asset, or jurisdiction. Supports exporting to Excel, PDF, or interactive dashboards, providing a clear view of the compliance status across the enterprise.
Surveillance & Risk Monitoring
Continuously analyzes trade flow, communication patterns, and counterparty exposures to identify anomalies and potential breaches. AI-assisted models detect unusual behavior and policy violations in real time, helping compliance teams prioritize investigations and maintain proactive oversight across global operations.
Cross-System Reconciliation
Verifies and synchronizes positions, balances, and transactions across internal books, custodians, and regulatory records in real time. It automatically detects breaks, flags them by severity, and routes exceptions to the appropriate teams with full lineage and timestamped audit evidence.
Workflow & Role Governance
Establishes and enforces approval hierarchies, task ownership, and supervisory controls across teams and regions. It supports segregation of duties, multi-step sign-offs, and automated reminders, all of which are tracked through versioned workflows and comprehensive audit logs.
Executive Dashboards & Metrics
Provides real-time dashboards for compliance, operations, and executive teams, offering instant visibility into filing status, exceptions, and jurisdictional metrics. Users can filter by entity, region, or regulation and generate reports directly from the dashboard for audits or board reviews.
Report Lifecycle & Change Management
New regulatory reports go live in about 90 days, with 30 days allocated to design and development and 60 days to testing. Regulatory updates and user-requested enhancements are released regularly, featuring versioned rules, UAT support, and a comprehensive audit trail.
- Real-time, cross-jurisdictional compliance oversight
- Automated regulatory and internal ad-hoc reporting
- Works natively with in-house and competitive systems
- 90-day full lifecycle for new report design, build, and testing
- Ongoing updates for regulatory and user-requested features
- Proven scalability and reliability across global institutions
- Cloud, on-premise, or hybrid deployment options
- Multi-jurisdictional compliance and analytics engine
- AI-assisted validation and exception management
- Customizable and automated reporting tools
- Cross-system reconciliation and automated filing
- Unified data model and Smart API integration
- Immutable audit evidence and version control
- SOC 2 / ISO 27001 aligned security
- ESG-aligned, paperless operations
ClearOS serves as the unified books-and-records backbone of the ClearOne suite. Reguliant builds upon that foundation to provide live compliance, internal reporting, and automated oversight across every connected data source.
It shares authentication, data models, and Smart API connections with ClearOS while staying fully platform-agnostic, allowing integration with proprietary or vendor systems without interruption.
PowerCage®
Real-time settlement and financing control
PowerPledge®
Collateral and liquidity optimization
Utopia®
Risk and margin management
ATTLAS®
Tax-lot and cost-basis reporting
Together, these modules create a coordinated post-trade processing and compliance system.
Global Coverage
Operates across North America, Europe, and Asia-Pacific. Localized rule packs manage language, currency, and jurisdictional logic. Designed for continuous operation in T+1, T+0, and tokenized-asset environments.
Global presence. Local compliance.
Security, Compliance, and Assurance
Aligned with SOC 2 Type II, ISO 27001, and regional data residency standards. Implements AES-256 encryption, TLS 1.3 transport, and active-active replication for resilience. Every record and report is cryptographically sealed, time-stamped, and fully traceable for regulator inspection.
Available as cloud-native, on-premise, or hybrid deployment. Delivered by ClearOne’s U.S. and Vietnam IFC engineering teams with 24/7 global support. Includes onboarding, configuration, and ongoing training under a single service standard.
Enterprise reliability. Scaled for every firm.
Fully digital workflows eliminate manual tasks and paper usage. Automated reconciliation and reporting lower resource use while supporting ESG-aligned operations.
The technology heritage of Reguliant has supported global compliance and audit systems for over fifty years. Today, it handles more than 90 percent of U.S. equity and options transactions daily, upgraded for AI, real-time data, and tokenized markets.
Because speed and accuracy define the market.
Reguliant®. Real-Time Compliance for a Real-Time World.