As US regulatory requirements evolve, firms face increasing pressure to maintain transparency, compliance, and efficiency. At Quod Financial, our multi-asset OMS/EMS trading platform is designed to meet these demands. With a growing US client base, Quod Financial has expanded its regulatory reporting capabilities, now supporting a broad suite of compliance requirements, including MiFID II, EMIR, SFTR, AIFMD, TRACE, CAT, Form PF, and CFTC reporting. While each region has unique regulatory specifications, the core themes—enhanced trade transparency, operational flexibility, and risk reduction—are universal.
Key Themes Shaping US Financial Regulations
The regulatory landscape in the US is increasingly driven by two key objectives:
- Transparency and Real-Time Data Access: Regulators call for better visibility into trade execution data, essential for accurate and timely regulatory reporting.
- Optionality and Flexible Execution: As market conditions shift, firms need the flexibility to adapt their execution workflows while maintaining compliance with regulatory standards.
These priorities are central to regulatory discussions, especially around topics like real-time trade reporting, algorithmic transparency, and the upcoming T+1 settlement cycle.
How Quod Financial’s OMS/EMS Supports Regulatory Compliance
Our trading technology is designed to support firms in meeting current and future regulatory obligations, making Quod Financial an ideal partner for navigating US regulatory reporting challenges.
- Flexible, Modular Infrastructure: Our trading platform is fully modular and can be integrated with any existing system, providing the flexibility to adjust execution flows as regulatory requirements evolve. This open infrastructure allows firms to adopt only what they need, while seamlessly expanding their capabilities over time.
- Multi-Asset Coverage: Our platform is designed to handle multiple asset classes from equities and FX to derivatives and digital assets, Quod Financial’s OMS/EMS ensures compliance across markets, enhancing transparency in multi-asset trading.
- Self-Service FIX Integration and Streamlined Compliance: Our platform includes self-service FIX capabilities, empowering firms to control their connectivity workflows with minimal manual intervention. This reduces operational risks and ensures compliance with transparency-focused guidelines.
- AI/ML-Driven Automation for Risk Mitigation: Leveraging AI and machine learning, Quod Financial’s platform automates trade execution and risk monitoring. This advanced automation helps firms reduce human error, supporting regulatory reporting accuracy and minimizing compliance risks.
Discover more about Quod Financial’s Microservices Architecture in our whitepaper.
T+1 Settlement: Always Prepared for Industry Changes
One of the most significant regulatory changes coming to the US was the shift to T+1 settlement, a requirement that aims to reduce risk and speed up transaction finalization. While many firms scrambled to adjust their systems, Quod Financial has been T+0-ready from the start, requiring no changes to seamlessly support T+1. Our technology is already designed to handle compressed settlement cycles, allowing firms to transition smoothly to meet the all required timelines.
A Forward-Looking Compliance and Regulatory Adaptability
While the specifics of future US regulations remain to be fully defined, it’s clear that the overarching goals will center around improving transparency, execution options, and reducing operational risk. At Quod Financial, we’re not only aware of these trends, but we’ve also built a platform designed to anticipate them. Our history of adapting to global regulatory environments and our emphasis on cutting-edge technology—whether through automation, modular design, or self-service tools—ensures that we remain at the forefront of the regulatory future.
As US regulations evolve, it’s crucial to stay ahead with systems that prioritize transparency, efficiency, and flexibility. At Quod Financial, our focus is on empowering firms with the technology and insights needed to navigate these changes seamlessly.
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About Quod Financial
Quod Financial is a multi-asset OMS/EMS trading technology provider focused on automation and innovation – specializing in software and services such as Algorithmic Trading, Smart Order Routing (SOR), and Internalization of Liquidity. Quod leverages the use of its data-driven architecture to support the demands of e-trading markets by combining AI/ML-enabled decision-making tools and dynamic market access with a non-disruptive approach to deployment. For more information visit: www.quodfinancial.com
Quod Marketing | +44 20 7997 7020 | marketing@quodfinancial.com