Regulatory processes and control frameworks —
as engineering and operations tasks.
Regulatory requirements in trading systems are not legal advisory topics. They are technical delivery tasks: reporting processes, control frameworks and reconciliation logic that must hold up in production — under time pressure, with hard deadlines and real operational consequences.
Regulatory requirements meet system reality
Requirements like EMIR and REMIT do not arrive in a vacuum. They must be embedded into existing system landscapes — ETRM systems that have grown organically, integrations that have existed for years, and operational processes that run every day.
The technical challenge is not the regulation itself — it is the implementation within real system constraints: data quality, latency, system availability and operational processes not originally designed for regulatory reporting.
Data quality before submission
Incomplete or incorrect trade data causes rejections. Quality checks must be integrated into the process before submission, not after.
Reconciliation as an ongoing process
Reconciliation between systems is not a one-off project — it must be established as a stable, operational routine.
Deadlines without tolerance
Regulatory reporting processes have hard deadlines. Operational monitoring and escalation are not optional extensions.
Coverage areas
Technical delivery in these regulatory and controls areas — embedded in ETRM system landscapes and operational processes.
EMIR
Trade reporting, counterparty classification, reconciliation and data quality. Technical connectivity to trade repositories and reporting interface specifications.
REMIT
Market abuse reporting, reporting infrastructure and data delivery to ACER. Technical processing of order and transaction data.
Internal Controls
Control frameworks, four-eyes principle, escalation processes and audit trail requirements. Implemented as system logic, not process documentation.
Reconciliation
End-to-end reconciliation across trading, risk, accounting and reporting systems. Error detection, escalation logic and resolution processes.
Reporting Infrastructure
Technical connectivity to reporting authorities, data quality checks pre-submission, monitoring of reporting processes and rejection handling.
Operational Stability
Regulatory processes are business-critical. Operational monitoring, incident analysis and escalation logic for processes that run to hard deadlines.
Our approach
Regulatory processes are not treated as separate IT projects — they are embedded into existing system processes. Operations is the focus: what needs to run every day, what needs to escalate, what needs to be documented. No legal advisory — technical delivery only.
- — Analysis of the existing system landscape and processes before any implementation
- — Technical delivery within real system constraints — not on a theoretical basis
- — Operational monitoring, escalation logic and incident handling as part of the delivery
- — Documentation and knowledge transfer so the internal team can operate independently
- — No regulatory legal advice — technical delivery only
Regulatory project or specific requirement?
kontakt@kiacon.de — direct, no pre-form.