Regulatory Transaction Reporting Pipeline

Eligibility, identifier enrichment, validation, submission to ARM/TR, and the break management loop

Regulatory Transaction Reporting Pipeline Eligibility, identifier enrichment, validation, submission to ARM/TR, and the break management loop 01 / Sources 02 / Eligibility 03 / Enrichment 04 / Validation 05 / Submit Trade Events · capture / lifecycle · 01 / Sources · raw Trade Events capture / lifecycle raw Reference Data · GLEIF / ANNA / DSB · 02 / Eligibility · lookup Reference Data GLEIF / ANNA / DSB lookup Eligibility · scope + action matrix · 02 / Eligibility · decision Eligibility scope + action matrix decision Enrichment · LEI / UPI / UTI / ISIN · 03 / Enrichment · identifiers Enrichment LEI / UPI / UTI / ISIN identifiers Validation · schema + rules · 04 / Validation · pre-submit Validation schema + rules pre-submit ARM / TR · regulator venue · 05 / Submit · ACK/NACK ARM / TR regulator venue ACK/NACK Break Management · reconcile + root cause · 05 / Submit · SLA Break Management reconcile + root cause SLA Resubmit · correction / cancel · 04 / Validation · fix Resubmit correction / cancel fix trade events raw booking identifiers reference reportable in scope enriched report candidate valid report accepted local rejection / break NACK + recon root cause fix remediation corrected report re-report Legend primary data policy / PII async batch data store

Primary Reporting Path

  • • Trades and reference data feed eligibility and enrichment left to right
  • • Every report is validated locally before it reaches the venue
  • • Labels name data assets, not generic API verbs

Identifier Enrichment

  • • LEI, UPI, UTI, and ISIN are attached from external reference sources
  • • Each value records its provenance as future audit evidence
  • • Stale or lapsed identifiers are the top cause of rejections

Break Management Loop

  • • Venue NACKs and reconciliation breaks flow into a tracked workflow
  • • Remediation carries a correction or cancel action, never a naive resend
  • • Root causes feed back upstream to enrichment and eligibility

Data-flow diagram • Built with Archify • Create yours ↗ • Hover to trace • R route • Click to focus • +/− zoom • M radar • [/] views • P play story • T theme • E export