Securities Exchange Regulatory Reporting

Australian Securities Exchange ASX Logo

Australian Securities Exchange (ASX) Regulatory Reporting

SolveXia is a technology provider offering powerful and versatile process automation software. Our solution is used by ASX market participants to assist in the preparation, review and reconciliation of regulatory reporting such as Schedule 1A (Capital Liquidity Requirements). Experienced the following benefits:

  • End-to-end automated Schedule 1A monthly reporting processes and daily internal checks which include the collection of data files, manipulation and calculation of key rule 1A balances and the communication and approval of final results within their organisations.
  • Processes configured in days without the need for IT/Programming skills.
  • Processes completed in minutes rather than hours or days and with a large reduction in manual errors.
  • Unlimited scalability to automate other spreadsheet-based processes, adding a layer of control and auditability without removing the flexibility that only spreadsheets can offer.
  • A full audit trail providing easy access to locked-down historical information thereby cutting audit costs and increasing management control.
  • Elimination of key-person dependency by transferring processing knowledge from individuals to the business.
  • Clear and up-to-date process documentation of the various processes.

Challenges facing organisations

  • Staff preparing Schedule 1A as part of their regular daily and month end practices are subject to ongoing time pressures leading to greater human error risk, job dissatisfaction and reduced time for the analysis and communication of results.
  • A key person dependency risk, with intimate knowledge of the Schedule 1A reporting process being lost when staff leave or change roles.
  • Minimal auditability and control over the preparation, validation and reconciliation of Schedule 1A calculations.
  • Limited opportunity for improvements to current procedures due to a lack of clear and logical documentation and limited understanding of the process.
  • Time and cost constraints associated with sourcing IT/Programming resources to automate these manual processes.

How SolveXia helps

SolveXia allows users to create an end-to-end automated Schedule 1A reporting processes. Source data files including key counterparty exposures (e.g. Equity, Options, Securities Borrow-Lend and Position Risk), General Ledger Trial Balance extracts and exchange rates in various formats including Excel, Text/CSV and Access are uploaded to the process and manipulated to produce the key outputs required for the ASX Schedule 1A lodgment including Counterparty risk, Rule 1A Trial Balance and Credit Facilities.

The automated process can be configured by staff without the need for IT involvement or a large IT development  project. As SolveXia works with your source files, users simply add “steps” to interact with (and manipulate) their files at each stage of the process.

Users also utilise SolveXia’s workflow functionality to designate steps in the process for the review and approval of the reporting outputs. Key output files are automatically emailed to the CFO (or others who may be responsible) who can review and approve or reject the results. Responses and feedback (if any) from the reviewer/s are automatically recorded in the process documentation.

To further enhance the control and audibility of the Schedule 1A process, every change to the steps and files in the process are recorded and automatically documented in SolveXia. Users can also choose to store a locked-down historical snapshot each time the process is run, including the process steps and the files used. SolveXia also maintains an up-to-date and live specification of the Schedule 1A process describing each step in enough detail to allow a user to reproduce the entire process manually.

SolveXia has templates that can be used as a guide to configuring your own end-to-end Schedule 1A reporting processes.

Frequently asked questions

Some answers to the questions you might have about this solution

  1. Can it be customised for my business? Yes. SolveXia provide you with a pre-prepared solution that gets you up and running, and then configure it to meet your specific needs.
  2. Can I customise it myself or do I have to get SolveXia to do it? SolveXia is fully intended for use by non-technical users, so that the subject matter experts can design and configure their processes to meet their exact needs.
  3. How long does it take to set up? We can have you up and running with 3-5 business days.
  4. Does it cost more for me to run additional processes (i.e. other than the Schedule 1A)? No, the cost is the same.
  5. How do I get more information? Please email us on or call our offices on 61-2-9386-0202

Output from Schedule 1A processes

SolveXia processes provide end-to-end solutions including the ability to populate final reports in Excel. Below is an example output of the Schedule 1A options counterparty risk calculation and population of the CRR-MFI form for options risk (in Excel format) to assist in reconciliation with the ASX output document:

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