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COMPLIANCE

MIFID II but also other upcoming  and existing regulation are demanding more efficiency and quality of data, documents, audit trails and more.

We have developed a software suite focused on compliance and more specifically with MIFID II in mind.

MIFID II, SOLVENCY II, GENERIC COMPLIANCE

With MIFID II occupying the schedules of most compliance officers and IT departments of manufacturers and issuers of investment products alike, FinFiles has created a suite of software products to help comply to this new regulation.

One of the challenges that MIFID II poses is the target markets and suitability issue. Although the implementation of specific target markets is not yet fixed, fortunately initiatives from the industry have been launched to unify this labelling. Still, it is very hard to also unify the communication between issuers and manufacturers on this topic. This is why FinFiles has created Bridge, an infrastructure that allows both manufacturers and issuers to communicate their target markets and deviations in 

different formats, while returning information in a uniform format.


The dissemination of legal documents will also change significantly under MIFID II. One of FinFiles core activities has long been the management of a large, client specific database of legal documents. We provide our clients with the most up to date documentation at all time and offer front end tools as well as web services to publish these documents. We offer high coverage, accuracy and timeliness at strict service levels. With PRIIP KIDs emerging from January 3rd 2018, we also offer these new documents with the same conditions.


From a manufacturers’ point of view, the generation of legal documents rather than 

the dissemination offers a challenge. FinFiles offers software to combine datasources (quantitative) with a content management system (qualitative) to publish information of investment products, but also generate legal documents on the fly or at set dates. Of course FinFiles can also disseminate these documents to all distribution channels in any format.


For the complete lifecycle of a legal document of an investment product, an audit trail process needs to be in place. All of FinFiles services and products that relate to legal documents support metadata to add to this audit trail.

WANT TO KNOW MORE?

Whether you are interested in one or more of our standard products or services, or want to discuss a specific challenge within your organization, we are always happy to meet with you.

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