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Capital Markets

Fund Management



Timely and Accurate

Comply with statutory requirements and meet submission deadlines on time - by automating the entire end-to-end workflow of regulatory reporting, from data consolidation and validation to report delivery.

Simplify RBC Regulatory Reporting for derivatives & securities brokerages and fund management companies

Optimai Risk Based Capital (RBC) Regulatory Reporting supports derivatives & securities brokerages and fund managers reporting requirements under the Monetary Authority of Singapore (MAS) Notice on Risk Based Capital Adequacy Requirements for Holders of Capital Markets Services Licenses Notice No. SFA04-N13. This reliable platform has been used since 2003 to support MAS RBC reporting requirements.  More than 1,286 RBC items as defined in SFA04-N13 have been pre-configured, classified and documented on our platform.

Implementing RBC on the platform is easy, we just need to map your GL accounts to the RBC items and take in your customer trades via interface.  Optimai RBC Reporting Solution works with all accounting systems.  

Upon implementation, you can simply upload your GL account via EXCEL, and the system will generate the RBC reports in XML format for import into MAS forms for submission.  You will be able to review and adjust the reports, if required, with maker-checker control and full audit trail.  The system provides supporting information down to contract details to support enquiry from the regulators.

Supported forms and reports :

  • Form 1 - Statement of Assets & Liabilities
  • Form 2 - Statement of Financial Resources, Total Risk Requirement and Aggregate Indebtedness
  • Form 3 - Statement Relating to the Accounts of a Holder of a Capital Markets Services License
  • Form 4 - Statement Relating to the Accounts of a Holder of a Capital Markets Services License- Supplementary
  • Form I&E - Income & Expenditure
  • Form 2 -Details - Form 2- CRR and PRR
  • ORR - Operational Risk Requirements
  • List of CRR Reports : CRR1, CRR2, CRR3, CRR4, CRR5, CRR6, CRR7, CRR8
  • List of PRR Reports : PRR1, PRR2A, PRR2B, PRR3, PRR4A, PRR5, PRR6A, PRR7, PRR8
  • List of LER Reports : LER1, LER2, LER3, LER4, LER5

Risk Based Capital Reporting