ResearchPool

MiFID II & SFDR Compliance: Is Your Documentation Up to Requirements?

Feb 26, 2024

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ResearchPool

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Insights

MiFID II & SFDR Compliance

Multiple regulations, including the Markets in Financial Instruments Directive II (MiFID II) and the Sustainable Finance Disclosure Regulation (SFDR), impose strict requirements on documentation and transparency within the investment process. However, many investment firms struggle to meet these standards effectively.

Typically, only specific aspects—such as the minutes of investment committee meetings—are formalized. Other critical elements remain undocumented or are scattered across individual email inboxes, folders, and various storage systems. This leads to rudimentary permissions and version control, complicating compliance efforts.

When documentation of the investment process is needed, it is often assembled retroactively by gathering information from multiple individuals. This approach can be cumbersome, time-consuming, and unreliable, potentially resulting in significant compliance issues.

ResearchPool offers a centralized digital repository where calendar events, emails, notes, documents, and Excel sheets can be easily tagged, stored, and linked to issuer investment cases. This integration works seamlessly with Microsoft Office products—Outlook, Word, Excel, PowerPoint, and OneNote—while providing robust permissions and version control. This efficient workflow is complemented with customizable case attributes, tasks, and notifications, allowing you to streamline your investment documentation process.

Discover how ResearchPool can simplify and help you secure compliance with some of the most relevant financial regulations. 

Highlights

MS Office Add-ins

MS Office Integration

Frictionless experience for users to tag, upload, and related documents, notes, and activities with issuers, cases, and more, directly from MS Office applications.

Centralised Repository

Centralised documents, notes, events, emails, and more, repository enabling easy discovery and fostering collaboration.

Centralised Repository
case management

Case Management

Detailed visibility into the information linked to investment cases, and the attributes of cases like status, through a timeline.

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