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Formerly known as Global Research & Risk Solutions

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April 01, 2026 Content Type Case study

80% faster accuracy checks and 40% faster consistency checks in regulatory filing support for a private credit manager

April 01, 2026 Content Type Case study
 
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Background

 

  • The BDC Finance division of a private markets manager required support in regulatory reporting and audit documentation. It primarily involved 10Q/10K reports required to be filed with SEC, within the stipulated period.
  • The support requirement included mathematical accuracy check, consistency check and tie-out of financial statements, summary of investments, notes and MD&A sections of the annual/quarterly report.

Solution

 

  • Activity scheduling: Back working prior to the marked filing day, divided workflows into precycle and reporting period activities.
  • Review management: Easy-to-refer and comprehend comments placed in the platform specifying discrepancies noticed, enabling onshore team to review.
  • Distribution and coordination: On receiving Finance packs, we undertake comprehensive accuracy check, consistency check and tie-out by distributing assigned responsibilities within the team.
  • Process automation: Summary sheets for capturing false checks, highlight provision for inconsistencies resulted in considerable time saved.
  • Quality control: Preparer and reviewer model followed to ensure accuracy in period referencing, linkages, footing references and calculated figures.

Impact

 

  • 80% efficiency gain by automating summarization of math accuracy check
  • 40% efficiency gain by automating consistency check process
  • End-to-end support in enabling adherence to regulatory requirements
  • Full length audit support covering confirmation process, regulatory filing related documentation, and risk controls
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