Ensure Compliance

Compliance & Risk Control in PM1

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Financial institutions must ensure that their risk management functions and processes keep pace with change and plan for compliance with upcoming local, regional, and global regulations. Expersoft continuously works with our clients to ensure that they are able to comply with ever-changing requirements. 

 

By working with industry specialists, PM1 provides a thorough and continuously evolving compliance framework that is not simply a software module, but specialised intelligence woven through all PM1 components, enabling our clients to ensure compliance with all key regulatory requirements.

Compliance Topics

 

MiFID II, MiFIR

  • Full coverage of investor protection
  • Target Market definition at product level
  • Suitability & appropriateness process
  • Knowledge & Experience, Risk Profile
  • Financial Situation & Investment Goals
  • Health checks & pre-trade checks
  • Automatic generation of Transaction Reports
  • Partnership with UnaVista



FinSA (FIDLEG/LSFin)

  • Domicile-specific Client & Mandate classification
  • Suitability & appropriateness process
  • Client documentation of financial services
  • Suitability assessment reports
  • Investment guidelines and pre-trade checks
  • Product financial data sheets (via third-party providers)



GDPR

  • Client consent management
  • Data purposes & authorisation
  • Automatic data legitimacy validation
  • Full coverage of right-to-forget
  • Manual & automatic data clean-up



AEoI CRS

  • Indicia indentification & life-cycle management
  • Controlling Persons management
  • AEoI classification conflicts
  • Documentation life-cycle (ie.self-certifications)
  • Automatic generation of CRS transaction reports



FATCA

  • Full coverage of FATCA data capture
  • FATCA indicia identification & management
  • Automatic resolving of indicia
  • IRS documentation support (i.e W Forms)



AnaCredit

  • Full coverage of data capture needs
  • Country based legal forms & national IDs
  • Checks of financial & company info
  • Legal proceedings & company Activities
  • Notification for periodic Anacredit reviews