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CSA Reporting

CSA Reporting refers to our comprehensive service ensuring compliance with the relevant rules, providing accurate and timely reporting for captured derivatives transactions.

Relevant Regulation: The relevant rules enacted by each of the Securities Commissions of the administrative provinces and territories of Canada.

Start Date: 31 October 2014

Regulatory Type: Regulatory Reporting

Types of firms affected: Entities in scope are determined in accordance with the ISDA methodology for reporting party requirements

Supervisory Authority: The relevant Securities Commission for each of the administrative provinces and territories of Canada.

Frequency of Reporting: As per relevant rules enacted by each of the Securities Commissions of the administrative provinces and territories of Canada.

CSA Reporting

Our CSA Reporting refers to a comprehensive Derivatives Reporting Service designed to ensure compliance, efficiency, and regulatory alignment, and to provide accurate and timely reporting for all derivatives transactions. The CSA Reporting Rewrite will go live on July 25, 2025, introducing significant changes aimed at harmonising with global standards. Key updates include expanded validation rules, the introduction of the Unique Product Identifier (UPI) and Unique Transaction Identifier (UTI) standards, support for position-level reporting, and enhanced action/event combinations for more accurate lifecycle tracking. Notably, Trade Repositories (TRs) will set their own data formats, and outstanding trades under the previous regime must be updated post–go-live.

Challenges

  • Analysis & interpretation of complex Canadian regulation and TR requirements
  • Dedicated resources for technology, infrastructure and regulatory aspects
  • Extra effort, time and costs required

Risks

  • Lack of expertise that might lead to errors in your reporting
  • Missing regulatory updates that may affect your reporting
  • Limited capacity for daily monitoring of reporting and meeting the requirements

Key features

  • Automated Reporting: Simplifies compliance with efficient, fully automated reporting workflows.
  • Data Accuracy and Transparency: Rigorous validation processes for precision and enhanced audit trails.
  • Scalable and Secure: Flexible architecture tailored for firms of all sizes, backed by advanced data security.
  • User-Friendly Reporting Portal: Seamlessly report and monitor transactions with our intuitive Polaris Portal dashboard for complete control and management.

UPI Link Search Tool

Our UPI Link Search Tool enables firms to match product attributes precisely to those already issued Unique Product Identifiers (UPIs) in the ANNA-DSB database. This ensures that reporting companies use the correct UPI Code for transaction reporting, reducing errors and ensuring compliance.

Benefits

  • Cost-efficient integrated reporting solution provided under a single platform
  • Lower technology costs as a result of eliminating the need to connect to multiple TRs
  • Integrated dashboard that provides a holistic view of all reports across all participants and TRs
  • Single solution for all asset classes across ASIC jurisdiction
  • Comprehensive regulatory reporting IT infrastructure resulting in long term cost efficiencies

Solution Includes

  • A team of specialists that will set up the service and provide training on extracting specific, relevant data as needed
  • Canadian training throughout the implementation process to ensure that key personnel understand the regulation and process
  • Support to answer any queries regarding the system and regulatory updates
  • Integration with an authorised TR
  • Daily tracking of reporting
Complyport is actively supporting firms in preparing for the rewrite. Our solution covers end to-end compliance: from validation logic integration and UPI/UTI management to legacy trade updates, TR connectivity, and position-level reporting.

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