Regulatory Reporting, Accounting & HR services for Investment firms

Focus on Growth, We Handle the Rest.

Opexia delivers an all-in-one solution for regulatory reporting, accounting, HR services, legal support, and regulatory monitoring, empowering investment firms to focus on their business while we ensure full compliance and operational excellence.

Investment firms face a range of challenges and risks in the areas of accounting, regulatory compliance, and reporting. The main risks are to focus on these critical areas while neglecting your business while client's expectations are higher  and this could lead to a major impact on the business:

  • The challenge of profitability

Failure to comply with profitability according the new cost structures imposed by the client's expectations and the cost of new regulations is the main risk of the Investment firms' shareholders.

  • Regulatory Non-Compliance:

Failure to comply with regulatory requirements can result in severe penalties, legal actions, and reputational damage, making this the most critical risk for investment firms.

  • Complexity of Regulatory Reporting:

 Investment firms must navigate increasingly complex and stringent regulatory reporting standards, requiring accurate, timely, and detailed submissions to avoid compliance issues.

  • Data Accuracy and Integrity:

 Ensuring that financial data is accurate, consistent, and reliable is crucial for producing compliant reports and maintaining trust with regulators and investors.

  • Adapting to Evolving Regulations:

The continuous changes in regulatory frameworks demand that firms constantly update their accounting and reporting processes, posing significant challenges in terms of resources and expertise.

  • Integration of Accounting and Reporting Systems:

 Managing the integration of various accounting and reporting systems to ensure seamless operations and compliance can be complex and resource-intensive.

  • Meeting Tight Reporting Deadlines:

 Regulatory authorities impose strict deadlines for reporting, and failure to meet these deadlines can result in penalties and increased scrutiny from regulators.

  • Legal and Regulatory Monitoring:

 Keeping up with changes in legal and regulatory requirements is essential to prevent compliance lapses and manage risks effectively.

  • Operational Efficiency in Reporting:

 Maintaining efficient reporting processes while ensuring accuracy and compliance is a significant challenge, particularly as reporting demands increase.

  • Resource Allocation and Expertise:

 Balancing the need for specialized knowledge in regulatory compliance and accounting with available resources can be a strain, especially for smaller firms.

  • Audit Trail Maintenance:

 Ensuring comprehensive and accessible audit trails is critical for demonstrating compliance during regulatory audits and inspections, with any gaps potentially leading to penalties.

  • Transparency and Accountability:

 The demand for greater transparency in financial reporting requires firms to enhance their processes and ensure that they can demonstrate accountability at all levels.

  • Cost Management:

 The costs associated with maintaining regulatory compliance, accurate reporting, and efficient accounting processes can be significant and impact overall profitability if not managed effectively.

Opexia’s REGTECH platform offers a comprehensive solution designed to meet the unique needs of investment firms. Here’s how our integrated platform and expert consulting support can transform your operations and regulatory compliance:

  • Integrated Operational Excellence:

Our REGTECH platform provides a fully integrated solution that optimizes every aspect of your operations, ensuring efficiency and effectiveness across all processes."

  • Expert Guidance on Regulatory Challenges:

Opexia’s team of regulatory experts is dedicated to helping you navigate the complexities of evolving regulations, ensuring that your firm remains compliant and prepared for any changes."

  • Unified and Industrialized Reporting Processes:

Gain access to streamlined, standardized reporting workflows that reduce complexity, increase accuracy, and ensure consistent compliance with regulatory requirements."

  • Efficient Data Transmission in Required Formats:

Our platform ensures that all reports are generated and transmitted in the precise formats mandated by regulators, eliminating the risk of non-compliance."

  • Focus on Core Business:

With Opexia managing your regulatory operations, you can concentrate on growing your business, confident that your compliance needs are fully handled.

This approach allows your firm to stay ahead of the curve in regulatory compliance while enhancing operational efficiency, all through a single, powerful platform.

 The Opexia Services are delivered in the context of a operating model  and a governance model  in accordance with the new outsourcing arrangements for PFS as set out in the Circular CSSF 22/806.

  • The scope of services requested by the Company including :
    • Accounting Services 
    • Regulatory Reporting Services 
    • Tax Reporting Services 
    • HR Services 

The Services are priced under the conditions and assumptions defined as fixed fees  and subject to the conditions of transactions volume.

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Full Services for less than the cost of an FTE : Reduce operational costs while ensuring full compliance

Start up package for Investment Firms
1995
00
Monthly
  • Monthly Reporting CSSF / EBA including XBRL production & transmission
  • Daily Accounting booking & invoices processing + General Ledger LuxGAPP/French/Belgium/Italian GAAP or IFRS
  • Analytical Financial Dashboard to monitor your budget
  • Regulatory Ratio Monitoring with Monthly Dashboards (Financial/Liquidity/Solvency)
  • Monthly Accounting Closure and Financial Reporting
  • Annual Accounts and Audit support
  • HR Payroll Management
  • Expenses Management & booking through Mobile app
  • Absence / Leave Management through Mobile App
  • VAT / IRC / ICC Tax Reporting

More Opexia Ressources Regulatory Reporting

Opexia on-line training platform

News and Insights on Regulatory Reporting

Regulation for Financial Sector
Nordine GARROUCHE

New outsourcing arrangements for PFS

The European Banking Authority (EBA) has issued revised Guidelines on outsourcing arrangements (EBA/GL/2019/02 or the Guidelines). While the Guidelines apply to credit institutions, investment firms

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