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Compliance & Regulatory Guide

OpsHub provides comprehensive tools for managing regulatory compliance across multiple jurisdictions including ASIC, SEC, MiFID II, and more.

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Compliance Framework

OpsHub’s compliance system covers:
  • Regulatory Reporting: Automated report generation and submission
  • Breach Detection: Real-time monitoring and alerts
  • Audit Trail: Complete record of all system activities
  • Document Management: Centralized compliance documentation
  • Rule Engine: Configurable compliance rules
  • Workflow Automation: Compliance approval workflows

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Regulatory Coverage

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ASIC Compliance

Australian Securities and Investments Commission requirements:
  • Form FS70 and FS71 reporting
  • Breach reporting within T+10
  • AFSL compliance monitoring
  • Client money reconciliation
  • Custody reporting

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SEC Compliance

Securities and Exchange Commission requirements:
  • Form PF reporting
  • Form ADV updates
  • Rule 206(4)-7 compliance program
  • Books and records requirements
  • Custody rule compliance

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MiFID II

Markets in Financial Instruments Directive:
  • Transaction reporting
  • Best execution monitoring
  • Research unbundling
  • Cost transparency
  • Record keeping

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Breach Detection

Real-time monitoring for compliance breaches: 
# Configure breach detection rules
rule = ComplianceRule(
    name="Position Limit Breach",
    condition="position.weight > 0.10",
    severity="HIGH",
    notification_channels=["email", "slack"],
    remediation_sla="4 hours"
)

# Automatic monitoring
monitor.add_rule(rule)
monitor.start()

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Reporting Automation

Generate and submit regulatory reports: 
// Configure report template
const report = new RegulatoryReport({
  type: 'ASIC_FS70',
  period: 'quarterly',
  fundIds: ['FUND001', 'FUND002'],
  includeSections: ['positions', 'transactions', 'valuations']
});

// Generate and validate
await report.generate();
await report.validate();

// Submit to regulator
await report.submit();

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Audit Management

Comprehensive audit trail:
  • User actions and timestamps
  • Data changes with before/after values
  • System events and errors
  • Report generation history
  • External communications

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Document Management

Centralized compliance documentation:
  • Policy documents
  • Procedures and controls
  • Training materials
  • Regulatory filings
  • Correspondence

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Compliance Workflows

Automated approval processes: 
workflow.define('compliance-approval', {
  steps: [
    { action: 'submit', role: 'analyst' },
    { action: 'review', role: 'compliance-officer' },
    { action: 'approve', role: 'chief-compliance' },
    { action: 'file', system: true }
  ],
  sla: '48 hours',
  escalation: 'auto'
});

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Testing & Validation

Compliance testing tools:
  • Rule testing sandbox
  • Report validation
  • Scenario analysis
  • Historical backtesting
  • Regulatory updates

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Best Practices

  • Regular rule reviews and updates
  • Automated testing of compliance rules
  • Maintain comprehensive documentation
  • Regular training and updates
  • Proactive monitoring and alerting
Next Steps: Review Technical Specifications.