Product Tour · Regulatory Workspace

Move from requirement to evidence, validation and approval.

The Regulatory Workspace is designed to make applicability, prudential logic, regulatory returns, evidence and governance visible in one controlled operating environment.

Illustrative interactive demo

Search obligation, return, K-factor, datapoint or evidence…

Example Investment Firm Ltd

Controlled obligations

Applicable requirements currently represented in the firm profile.

Current-quarter work items

Items requiring preparation, review or submission.

Validation status

Rules passing across the current working pack.

96%

Checker queue

Items waiting for independent approval.

Current regulatory workstreams

Quarterly view

Workstream	Stage	Evidence	Status
Own funds assessment	Validated	6 / 6	Controlled
Fixed overheads requirement	Validated	4 / 4	Controlled
K-factor assessment	Checker review	11 / 12	Review
Quarterly supervisory return	Preparation	18 / 23	In progress
Liquidity requirement	Validation	5 / 5	1 warning

Control chain

Current pack

Applicability confirmedFirm profile and rule basis linked.

Pass

Data completenessRequired datapoints loaded.

23 / 24

Formula executionApproved calculation versions used.

Pass

Checker approvalIndependent review pending.

Pending

Applicable regulatory obligations

Firm-profile driven

Own funds requirementIFR prudentialFinance

Fixed overheads requirementIFR prudentialFinance

K-factor assessmentIFR prudentialRisk / Finance

Quarterly supervisory returnEU + local layerFinance

Liquidity requirementIFR prudentialFinance

K-AUM€0Not applicable in this example

K-CMH€2.84mInput basis controlled

K-COH€18.6mRolling measure

K-DTF€52.1mTrading flow basis

K-NPR€0No own-account positions

Combined K-factor req.€412kIllustrative result

K-factor calculation controls

Approved formula versions

Factor	Source data	Formula	Validation	Approval
K-CMH	Client money balances	v1.0 approved	Pass	Approved
K-COH	Order flow dataset	v1.0 approved	Pass	Checker
K-DTF	Daily trading flow	v1.0 approved	1 warning	Pending

Data and evidence package

Traceable support for regulatory work

Quarter-end trial balanceAccounting source · uploaded 13 Sep 2026

Linked

Trading exposure exportTrading source · imported 13 Sep 2026

Linked

Client money balance evidenceOperations source · reviewed by maker

Linked

ECB exchange-rate referenceReference data · controlled source

Linked

K-factor methodology noteRegulatory evidence · approved version

Linked

The aim is for a reviewer to move from a regulatory output back to the supporting source, formula and approval history without reconstructing the chain manually.

Validation suite

13 controlled rules in this illustrative pack

Own funds must not fall below applicable requirementActual €1.99m · requirement €1.23m

Pass

Liquidity assets must cover minimum requirementHeadroom remains positive but below internal watch threshold.

Warning

K-factor datapoints must have evidence links11 of 12 evidence links complete.

Review

Approved formula version requiredAll current calculations use approved formula versions.

Pass

Maker and checker cannot be the same userRole separation confirmed.

Pass

What this shows

Regulatory work becomes a controlled operating chain.

The workspace brings requirement, applicability, input data, formula, evidence, validation and approval into one place so each output can be understood in context.

Obligations are connected to applicability.

The platform is intended to explain why a requirement belongs to this firm, not merely list deadlines.

Calculations retain their control context.

Inputs, formula versions, validations and evidence remain connected to the result.

Approvals finish the chain.

Maker-checker review is part of the regulatory workflow rather than a separate email process.

Tour complete

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