Regulatory Compliance Agent
Automated validation against financial regulations
Overall Compliance Score
99.4%Compliant
3 open violations across 5 regulations
2,891
Checks Run
2,884
Passed
7
Violations
MiFID II
Markets in Financial Instruments Directive
Compliance Score99.2%
45 rules2 violations
5 minutes agoSFTR
Securities Financing Transactions Regulation
Compliance Score100%
28 rules
10 minutes agoEMIR
European Market Infrastructure Regulation
Compliance Score97.8%
32 rules5 violations
15 minutes agoCSDR
Central Securities Depositories Regulation
Compliance Score99.8%
22 rules1 violations
20 minutes agoBasel III
International Banking Supervision Standards
Compliance Score100%
18 rules
30 minutes agoCompliance Violations
Issues requiring attention or remediation
| Regulation | Rule | Description | Security | Severity | Status | Action |
|---|---|---|---|---|---|---|
| MiFID II | Art. 25(6) | Missing cost transparency data for security HSBA | HSBA | medium | Open | |
| MiFID II | Art. 27(3) | Execution venue not specified for security 7203 | 7203 | low | Open | |
| EMIR | Art. 9(1) | UTI not assigned for OTC derivative position | N/A | high | Open | |
| EMIR | Art. 11(3) | Portfolio reconciliation date exceeded 30 days | Multiple | medium | Remediated |