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Regulatory Compliance Monitoring

Regulatory Compliance Monitoring

Regulatory Compliance Monitoring​


MiFID II applies to a broad range of financial services organizations, including investment firms, market operators and data reporting services providers. It also applies to other financial entities engaging in the provision of investment services, such as banks, insurers and asset managers.

New reporting requirements and tests increase the amount of information available, and reduce the use of dark pools and OTC trading.  The rules governing high-frequency-trading will impose a strict set of organisational requirements on investment firms and trading venues, and the provisions regulating the non-discriminatory access to central counterparties (CCPs), trading venues and benchmarks are designed to increase competition.

The protection of investors is strengthened through the introduction of new requirements on product governance and independent investment advice, the extension of existing rules to structured deposits, and the improvement of requirements in several areas, including on the responsibility of management bodies, inducements, information and reporting to clients, cross-selling, remuneration of staff, and best execution.

In brief MiFID sets out:

-  Conduct of business and organisational requirements for investment firms.

-  Authorisation requirements for regulated markets.

-  Regulatory reporting to avoid market abuse.

-  Trade transparency obligation for shares.

-  Rules on the admission of financial instruments to trading.


Key Functionalities

MiFID II software is tailored to the needs of each company, using RPA technology based on cost - benefit analysis capable to deliver added value both in the short and long term. 

The application helps businesses to:

-  Produce and record all evidences and requirements.

-  Initiate and perform periodic Self - Assessments.

-  Generate reports to prove compliance.



The main benefits are listed below:

-  Helps senior management to demonstrate compliance with regulatory requirements.

-  Automated emails throughout the assessment process.

-  Activity history.

-  Time saving.

-  Improved efficiency.