OCR

A standard-setting compliance solution for FCMs, clearing members, brokers and dealers

What is OCR?

The FIA Tech OCR Data Service makes it easy to comply with the Commodity Futures Trading Commission’s (CFTC) ownership and control reporting rules. OCR was developed as an industry solution in response to a regulatory environment that is increasingly demanding more data on shorter notice.

OCR automates compliance by allowing futures commission merchants (FCMs), clearing members, foreign brokers, and swap dealers, to collect and store client data needed for regulatory reporting and data management purposes.

More than 15,000 market participants currently use OCR to enhance compliance and reduce their exposure to regulatory risk.

OCR Support - Help Center

3 Types of Reports

OCR Form 102A’s, 102B’s, and 102S’s

CGM files for the CME’s Customer Gross Margin rules

MiFID II Lockbox service for GOSA accounts

Register for OCR Today

Are you a reporting entity looking to make filing 102’s easier?

If you’re an asset manager, investment bank, fund manager or other buyside firm and have been asked by your broker/reporting entity to create OCR profiles and ID’s:

OCR for the Buyside

Set and forget for a year

As a buy-side client once you sign up for the OCR Data Service, free of charge, there’s nothing to remember and no deadlines to miss. Instead of entering your owner, controller, and main contact info in multiple places, sending it off to multiple brokers, agencies and/or exchanges, you can just enter your data in one place and permit multiple brokers to view that data. Reports are then filed automatically by your reporting firms. If you update your info later our system will automatically re-file a new form with your updated information.

Providing data to FCMs to report to CFTC

The OCR Data Service simplifies complex data entry and transmittal requirements for buy-side firms executing trades with many different market participants. It transmits accurate data to FCMs, so that they can report to the CFTC and exchanges. This service provides an efficient way to collect, validate, store, report and manage client data- and to use that data to satisfy OCR reporting requirements.