OCR

The industry standard for compliance

ABOUT OCR

What is OCR?

In 2013 the Commodity Futures Trading Commission (CFTC) published new ownership and control reporting rules and related forms to expand its identification of futures and swap market participants (“OCR Final Rule”). The CFTC’s new OCR Final Rule updated the previous large trader reporting system with additional data requirements, next-day deadlines, and mandatory electronic reporting.

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

Streamline compliance

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.

Choose the industry’s best solution

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

Existing Users:

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Existing Users looking for help on OCR?

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Register for OCR today!

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

REGISTER REPORTING ENTITY

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:

REGISTER BUY SIDE

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

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

OCR for the Buy Side

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.