RBOR – Facts and Frequently Asked Questions

What’s RBOR?

RBOR — a regulatory book of record — is a custom, centralized data repository that provides asset management firms with records of all their regulatory filings globally in compliance with the SEC, FINRA, NCAs and all other applicable laws, rules and regulations.

What makes up my RBOR?

RBOR manages the data and the metadata used to turn investment data into regulatory reports. These mapping records and the calculation logic, along with a complete record of your investment data, are what comprise your RBOR.

What can my RBOR do for me today?

If you’re thinking about how to manage all of your regulatory data, not to mention ongoing regulatory changes, the answer is here: We can manage everything for you, today. And by trusting your data to DFIN as your single vendor partner, you’re also building a ‘golden source’ of your regulatory data.

What can my RBOR do for me in the future?

Increasingly, regulators not only want an accurate and complete record of your raw data but also a record of how that data was turned into the regulatory reports submitted to their depositories. That’s why our approach is to house everything together, all in one place.

Additionally, with the industry moving toward a more unified, centralized global regulatory system, RBOR will be key in preparing you for a more efficient future.

How do I start my RBOR?

Partnering with DFIN is the first step to starting your RBOR. Once you’re a DFIN ArcFiling or ArcReporting client, we’ll begin building your custom data repository. Then, whenever you need it, you can get a regulatory-centric view of all your global investment data.

Why should I partner with DFIN?

DFIN is the largest filing agent in the U.S., with 41% of the U.S. market. We have the largest existing database and consistently deliver our clients deep global regulatory expertise. Partnering with DFIN means you’ll have the confidence that your RBOR is being built, that it’s your data set in its entirety, and that you can access the data you need, when you need it.

To learn more, download the fact sheet below.

RBOR – Facts and Frequently Asked Questions

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