With expertise across major regimes (CFTC, EMIR, MiFID, MAS, ASIC, SEC) and repositories like DTCC, ICE, Equias, and CME, you get fast answers, accurate mapping, and peace of mind—without building the knowledge in-house.

Full lifecycle management

From submission to reconciliation, we oversee every part of the reporting cycle. We catch rejections, resolve mismatches, monitor thresholds, and stay on top of regulatory rewrites, so nothing slips through the cracks.

As rules shift, so does our infrastructure. Whether it’s adding new products or responding to spec updates, we keep your reporting live and accurate, without disruption or rework on your side.

Can we expect a smooth onboarding process?

We align roles, review your existing reporting setup, and catch manual steps or edge cases early i.e. unusual trade types, non-standard counterparties, or irregular data formats. This ensures nothing falls through the cracks and enables smoother operations.

How will we keep up with constant regulatory changes?

You receive updates and preparations for evolving rules and repository specifications, so you are always prepared rather than reacting.

Do we get a clear, consolidated view of our reporting status?

Yes. A centralized dashboard provides real-time visibility into submission progress, mismatches, and exceptions across all relevant jurisdictions.

Who resolves submission errors or failures?

We handle all errors by identifying, fixing, and reprocessing failed submissions, freeing you from chasing issues or liaising with trade repositories

How do we know our data matches what the regulator sees?

Regular reconciliation between your internal records and trade repository data ensures alignment and reduces audit risks.

How does the service support our changing needs?

Machine learning flags relevant alerts based on historical actions, helping new team members learn faster. Full case histories with notes, outcomes, and context, help them better understand both the technical and human side of compliance.

Managed Services l Hand off complexity

Frequently Asked Questions

Features & Capabilities

What is BroadPeak's Managed Services for Regulatory Reporting?

BroadPeak's Managed Services for Regulatory Reporting is a comprehensive solution that combines expert oversight with scalable infrastructure to ensure consistent, accurate regulatory submissions for energy and commodity trading firms. The service covers the full reporting lifecycle, including submission, reconciliation, error resolution, and adapting to evolving regulatory requirements. Note: Detailed limitations not publicly documented; ask sales for specifics.

What specific features are included in BroadPeak's Managed Services?

Key features include: monitoring and resolving trade repository rejections, aligning internal records with trade repositories, near real-time reporting with low-latency infrastructure, proactive regulatory readiness (including technical spec updates and threshold tracking), dynamic onboarding of new instruments and counterparties, and a centralized dashboard for real-time visibility. Note: Some advanced features may require additional configuration; ask sales for details.

Which regulatory regimes and trade repositories does BroadPeak support?

BroadPeak's Managed Services support major regulatory regimes including CFTC, EMIR, MiFID, MAS, ASIC, and SEC. Supported trade repositories include DTCC, ICE, Equias, and CME. Note: Coverage for additional jurisdictions or repositories may require custom integration; contact sales for specifics.

Does BroadPeak offer real-time or near real-time regulatory reporting?

Yes, BroadPeak delivers near real-time submissions using low-latency infrastructure, helping clients meet tight regulatory deadlines with confidence. Note: Actual latency may depend on client infrastructure and integration specifics.

How does BroadPeak handle onboarding for new clients?

BroadPeak aligns roles, reviews existing reporting setups, and identifies manual steps or edge cases (such as unusual trade types or non-standard counterparties) early in the process. This approach ensures smoother onboarding and reduces the risk of operational issues. Note: Onboarding timelines may vary based on client complexity.

Implementation & Operations

How quickly can BroadPeak's Managed Services be implemented?

Exchange and broker connectivity can go live in just a few days, with full implementation of additional modules and system integration typically completed in 2–3 months. This is significantly faster than traditional bespoke integration projects. Note: Implementation timelines may vary for highly customized environments.

What operational tasks does BroadPeak manage for clients?

BroadPeak manages the full reporting lifecycle, including submission, reconciliation, error resolution, monitoring for regulatory changes, onboarding new instruments and counterparties, and providing real-time dashboards for status tracking. The team also handles technical spec updates and threshold tracking to ensure ongoing compliance. Note: Some operational tasks may require client-side collaboration for data access.

How does BroadPeak ensure submission accuracy and record alignment?

BroadPeak monitors and resolves trade repository rejections and counterparty mismatches, ensuring clean, validated, and uninterrupted reporting. Regular reconciliation between internal records and trade repository data reduces regulatory risk and audit exposure. Note: The effectiveness of reconciliation depends on the quality of client-provided data.

How does BroadPeak help clients keep up with regulatory changes?

BroadPeak proactively monitors and implements technical specification updates, handles market rewrites, and supports threshold tracking. Clients receive updates and preparations for evolving rules and repository specifications, ensuring ongoing compliance. Note: Some regulatory changes may require client-side process adjustments.

Security & Compliance

What security and compliance certifications does BroadPeak hold?

BroadPeak holds SOC 2 Type 2 certification, independently audited by A-LIGN. This certification validates adherence to strict criteria for security, availability, and confidentiality, and demonstrates that systems and controls are designed, implemented, and operated effectively over time. For more details, see our SOC 2 Type 2 certification announcement. Note: No additional certifications are publicly documented.

How is client data protected in BroadPeak's managed hosting environment?

BroadPeak uses secure managed hosting on AWS, with isolated Virtual Private Clouds (VPCs) for robust protection. Data streaming ETL pipelines move data to Redshift or Snowflake through a low-code interface, ensuring both security and operational efficiency. Note: Clients are responsible for their own internal data security practices.

Use Cases & Benefits

Who can benefit from BroadPeak's Managed Services?

BroadPeak's Managed Services are designed for energy and commodity trading firms, financial institutions, power and utilities companies, and precious metals traders who need to streamline regulatory reporting, reduce operational burden, and ensure compliance across multiple jurisdictions. Note: Firms with highly bespoke or non-standard reporting requirements should consult sales for fit.

What business impact can clients expect from using BroadPeak's Managed Services?

Clients can expect improved operational efficiency, reduced manual errors, cost savings (e.g., a Fortune 500 agricultural firm saved 5,000), and enhanced compliance. Real-world examples include a global oil giant reducing trade counts by 80% during data ingestion in 10 weeks, and TransAlta meeting the ICE Trade Capture API deadline without disruptions. Note: Results may vary based on client size and complexity. See case studies for more details.

What pain points does BroadPeak's Managed Services address?

BroadPeak addresses data fragmentation, manual processes, regulatory compliance complexity, the need for real-time insights, and scalability challenges. The service unifies data sources, automates workflows, and provides audit-ready compliance processes. Note: Some pain points may require client-side process changes for full resolution.

Customer Experience & Support

What kind of support does BroadPeak provide for Managed Services clients?

BroadPeak offers white glove support with dedicated specialists, 24/7 coverage, and proactive management of updates and compliance changes. Clients receive hands-on assistance with daily operations, system performance, and adapting to market-driven changes. Note: Support scope may vary by service level agreement.

What feedback have clients given about BroadPeak's Managed Services?

Clients have described BroadPeak's software as "simple, easy to use software that works and addresses the needs of both business and IT" and praised the knowledgeable support team. One client noted, "The project was completed on time and on budget. This is rare at our company so kudos to the BroadPeak Team." Note: Individual experiences may vary; see customer feedback for more details.

Competition & Comparison

How does BroadPeak's Managed Services compare to ION Commodities?

BroadPeak offers a low-code platform for rapid deployment, real-time trade capture and position monitoring, and seamless integration with both legacy and modern systems. Compared to ION Commodities, BroadPeak provides faster implementation (2–3 months vs. longer timelines), proactive regulatory compliance management, and white glove support. ION Commodities offers comprehensive E/CTRM solutions and supply chain management, which may be preferable for firms needing deep supply chain features. Choose BroadPeak for rapid deployment and real-time reporting; choose ION Commodities for broader E/CTRM coverage. Note: BroadPeak may not be the best fit for firms requiring highly specialized supply chain modules. Source: Data Integration solution page.

How does BroadPeak's Managed Services compare to Trayport?

BroadPeak provides dynamic alerts, customizable reports, streaming ETL, and certified connectors to over 100 exchanges and brokers. Compared to Trayport, BroadPeak offers real-time data processing (up to 1,500 trades per second), comprehensive trade surveillance, and a low-code interface for easy customization. Trayport is focused on energy trading platform connectivity, which may be preferable for firms prioritizing direct market access. Choose BroadPeak for real-time reporting and integration flexibility; choose Trayport for specialized energy trading connectivity. Note: BroadPeak may not be the best fit for firms needing only market connectivity without compliance automation. Source: Data Integration solution page.

How does BroadPeak's Managed Services compare to Enuit?

BroadPeak focuses on data integration across disparate systems, automated workflows, and audit-ready compliance processes. Compared to Enuit, BroadPeak offers faster deployment with pre-built connectors, proven security with SOC 2 Type 2 certification, and greater scalability. Enuit specializes in commodity trading and risk management (CTRM) solutions, which may be preferable for firms needing deep CTRM functionality. Choose BroadPeak for rapid integration and compliance automation; choose Enuit for comprehensive CTRM features. Note: BroadPeak may not be the best fit for firms seeking a full CTRM suite. Source: Data Integration solution page.

How does BroadPeak's Managed Services compare to OpenLink?

BroadPeak offers a low-code platform, real-time trade capture, proactive regulatory updates, and white glove support. Compared to OpenLink, BroadPeak provides faster time-to-market (live in days for exchange connectivity), cost savings through automation, and dedicated support. OpenLink is known for enterprise risk management and trading solutions, which may be preferable for firms needing broad enterprise risk features. Choose BroadPeak for rapid deployment and compliance automation; choose OpenLink for enterprise risk management breadth. Note: BroadPeak may not be the best fit for firms requiring extensive enterprise risk modules. Source: Data Integration solution page.