Regulatory reporting and filing

Regulatory reporting capabilities support the configuration and case activities used to prepare regulatory filings. Filing-regulator administration supports maintaining regulators, selecting the default regulator, and recording filing-entity details for each filing jurisdiction. Availability of reporting forms, XML export, and direct filing depends on the enabled deployment and the applicable jurisdiction.

This feature connects the case-management lifecycle to the organization’s reporting and filing obligations. It brings filing-regulator configuration, jurisdiction-specific filing details, case actions, and submission activities into a controlled operating model. The feature is especially important where timely and complete reporting depends on clear handoffs between investigation, preparation, approval, and teams.

• Maintain filing regulators and select the default jurisdiction regulator.
• Record filing-entity information for each applicable jurisdiction.
• Use reporting-specific forms, XML export, or direct filing only where those capabilities are enabled and supported for the deployment.

Steps to enable and configure

• Configure the applicable filing regulators and their default selection.
• Provide and validate filing-entity details for every required jurisdiction.
• Assign Regulatory Reporting and Filing Regulators Manager access to the intended users.

Tips and considerations

• Confirm that jurisdiction, filing entity, and approval responsibilities match the organization’s regulatory operating model.
• Separate reporting preparation from approval where required by policy.