Managing the risk of research inducements via email continues to be a challenge for firms impacted by MiFID II regulations. Email is the primary route for research consumption within most firms and it is also among the least-monitored or controlled form of communication. Our technology classifies all email data, content and attachments received, and evaluates and flags it for potential inducements. Request a demo today!


 

The MiFID II compliance solution for email inducements

Identify

Potential Inducements

By leveraging a business logic-driven approach, potential inducements can be identified and limited by extracting key information from email and email attachments. Any emails that may contain potential inducements are flagged for the user’s review before they are consumed.

Key information extracted and classified includes:

  • Identifying if there is research in the body of the email or PDF attachment
  • Classifying research that is substantive and/or unsolicited based on business rules
  • Categorizing content by asset class and genre

Access

Dashboards & Reporting

At-a-glance dashboards provide compliance departments and senior level team members with a holistic view of the email content entering their company across three key categories:

  1. Approved (whitelisted)
  2. Not-approved (blacklisted)
  3. Review required
Granular reports provide visibility into content received to identify risks to the business while monitoring performance and developing a strategic focus through data-driven analytics.