SERVICES

Ownership & Control Reporting (OCR)

Clarient Entity Hub helps simplify and streamline the OCR reporting process. Asset managers and clearing brokers simply provide their data to Clarient Entity Hub and all Ownership and Control Reporting (OCR) mandatory fields completed and with their designated Futures Commission Merchants (FCM’s), are submitted to the FIA Tech platform (FIA’s OCR Data Service). Reporting entities will review the data and confirm that it will meet their reporting obligations. FIA Tech will report the data to the Commodity Futures Trading Commission (CFTC) and the relevant exchanges (when account becomes reportable).

To improve the CFTC’s market surveillance and trader reporting program, the CFTC published new OCR rules on November 18, 2013. The rule enhances the CFTC’s ability to identify futures and swap market participants. In September 2016, the CFTC OCR rule goes into effect resulting in a significant increase in trader and account information required to provide additional identification and market participant data to the CFTC through automated form filings.

Learn More About the Clarient Entity Hub’s OCR Service

BENEFITS

Data & Evidence Collection

Enhances Efficiency through Verification & Review Process

The Clarient data collection process has automated field verification controls to assist with accuracy. This promotes efficiency by decreasing the likelihood of errors and wrong information and validating that all data fields are submitted. Additionally, Clarient‘s dedicated team of reference data experts review all submitted data and monitor any messaging back from FIA Tech or relevant exchanges after data is submitted.

Dedicated Training & Support Team

Dedicated Training & Support Team

Clarient employs a dedicated training and support team for new users of The Clarient OCR Service, facilitating a seamless onboarding process for clients.

Refresh Management

Refresh Management

Clarient will implement a defined refresh management process (in accordance to the CFTC regulations, when published) to facilitate a reporting party’s compliance with CFTC requirements for OCR reporting.

Single Platform for all Reference Data Needs

Single Platform for all Reference Data Needs

Clarient is not just an OCR reporting vehicle. Clarient offers a centralized, secure platform to store, manage and exchange critical data and documentation from a single location. Its service offerings will include: KYC, Tax, Ready to Transact and Regulatory Data Collection.

Foundation for Future Regulatory Reporting Needs

Foundation for Future Regulatory Reporting Needs

The Clarient platform enables clients to build on their data submissions for future regulatory reporting needs.

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