Transact Comply Release Notes 1.18

Summary

We are pleased to announce the release of Transact Comply version 1.18, introducing new capabilities focused on automation, scalability, and streamlined operations. Key highlights include Multi-Project Transaction Routing & Entity Synchronization, enabling seamless processing of entities and transactions across multiple projects, Rule-Based Case Allocation for automated case assignment, and the introduction of a dedicated Reporter Role for controlled access to the Regulatory Reporting module.

This release also includes enhancements to regulatory reporting formats, Capital Markets data processing, Rule Engine functionality, SFTP-based file ingestion, and user interface improvements, further strengthening platform efficiency, flexibility, and compliance readiness.

Features

1. Multi-Project Transaction Routing & Entity Synchronization

Introduced the capability to ingest entities and transactions into multiple projects within Transact Comply. This enhancement enables seamless synchronization of entity data and transaction routing across designated projects, reducing integration effort and improving operational efficiency.

2. Rule-Based Case Allocation

Added support for automated case allocation based on configured rule logic. Cases can now be assigned dynamically according to the rules triggered, ensuring efficient workload distribution and streamlined case management.

3. Reporter Role – User Management

Introduced a dedicated Reporter role within User Management. Users assigned this role will have access exclusively to the Regulatory Reporting module, enabling them to create, manage, and submit regulatory reports while maintaining controlled access to other application functionalities.

Enhancements

1. India Regulatory Reporting (Finnet 2.0) Format Updates

Enhanced the India Regulatory Reporting module to align with the latest Finnet 2.0 specifications, including updates to report sections, validations, enumeration lists, and report generation formats.

2. Capital Markets Enhancements

Implemented support for additional Capital Markets file schemas and enhanced uniqueness validation logic for Client Master and Trade files, improving data quality and file processing accuracy.

3. UI Enhancements

Introduced several user interface improvements, including:

  • Display of the business date associated with uploaded files in the MMDI module.
  • Bulk rule deletion capability within the Rule Library to simplify rule management and administration.
4. Rule Engine Enhancements

Enhanced Rule Engine functionality by:

  • Extending support for additional file types within the GroupGlobalData function.
  • Enabling selection of multiple parameters within the CountIf function to provide greater flexibility in rule creation.
5. SFTP File Ingestion & Notification System Enhancements

Enhanced the SFTP integration framework by:

  • Introducing file naming convention support for Capital Markets file ingestion.
  • Providing email notifications for file ingestion and processing status updates.
  • Enabling project-specific configuration of files to be uploaded and processed through SFTP.
6. Philippines Regulatory Reporting (GoTRACS) Format X Updates

Introduced Philippines Regulatory Reporting Version 2, aligned with the GoTRACS 2024 Guidelines, ensuring continued compliance with the latest regulatory reporting requirements.

Capital Markets Rules Deployed

#Rule NameSegment
1Wash Trade (Self-Match) RuleCM
2High Turnover Group New Dormant CommodityCOM
3Client Trading Vs Dealing Office Address CommodityCOM
4High Volume Vs Exchange Avg CommodityCOM
5High Volume Group Vs Exchange Avg CommodityCOM
6High Turnover New Dormant Client CommodityCOM
7Small Orders Single Stock CommodityCOM
8Trade Done Common Device CommodityCOM
9Trading Only In Options CommodityCOM
10Scrip Concentration CommodityCOM
11Speculation Profit Loss CommodityCOM
12High Profit Loss Group CommodityCOM
13Market Abuse Indicator – F&OFO
14Volume Concentration Alert – F&OFO
15Consistent High-Volume Pattern – F&OFO
16Trading-Net Worth Mismatch – F&OFO
17Excessive Buy Value – F&OFO
18Excessive Selling Value – F&OFO
19Excessive Trading volume – F&OFO
20New Account Trading Surge – F&OFO
21Transaction Activity Not Matching KYC Declared Occupation – F&OFO
22Repeated Buy-Sell Cycles Creating Volume – F&OFO
2330-Day Scrip Concentration Over Threshold – F&OFO
24Micro-Quantity Trade Concentration – F&OFO
25Single-Day Dominance in One Scrip – F&OFO
26Sequential Cancellation Alert – F&OFO
27Options Trading Suitability Rule – F&OFO
28Extreme Speculative Profit/Loss Thresholds – F&OFO
29High Frequency Micro-Quantity Orders – F&OFO
30Group of New Clients Concentrated in One Equity – F&OFO
31High Scrip Turnover via Common Trading Terminal – F&OFO
32High contribution by customers – F&OFO
33Excessive Selling Value – CM+F&OCM+FO
34Excessive Trading volume – CM+F&OCM+FO
35Off-Market Sale in Listed Scrips (> ₹25 Lakhs)CM
36Off-Market Transfer vs Income/Net Worth RatioCM
37High Frequency Off-Market TransfersCM
38Inconsistent or Missing Off-Market Reason CodesCM
39Rapid Concentration by New Client in EquityCM
40Sequential Cancellation AlertCM
41Frequent IP Overlap AlertCM
42Trading-Net Worth MismatchCM
43Group of New Clients Concentrated in One EquityCM
44High Scrip Turnover via Common Trading TerminalCM
45Bulk Off-Market Accumulation vs Issued CapitalCM

Bug Fixes & Improvements

We’ve resolved several known issues to enhance overall application performance, delivering a more stable, responsive, and reliable user experience.