Regulators are increasingly asking for the research evidence that led to an investment decision.

Here’s how to provide it.

Company Meeting AT.png

What Regulators Want from Asset Managers?

Information disclosed in company meetings are of the highest interest to regulators and best practice is to now capture an electronic record of all these interactions.

Regulators interest can stretch beyond simply evidence of meetings and notes.

 

What a Research Management System (RMS) should have?

A good RMS will provide an audit trail of activity and give access to compliance teams in a controlled manner.

A best of breed RMS should capture many parts of the investment process including meetings, notes, models and analysis that supported an investment decision.

 

Calibre RMS is built to help investors make better decisions


Respond confidently to regulators

Audit trails across every research activity

Audit Trails capture every research activity across all your research artefacts or interactions

Easily know what research or interaction was done, when it was done and by whom.

See a history of all actions, changes and updates made to any research item.

 

Research Notes

Company Models

Meetings and Interactions

Scorecards


Give compliance controlled access, without unnecessary processes

Compliance Dashboard

The dedicated dashboard allows your compliance team controlled access to all your research activity and interactions.

There are no additional processes or systems needed for your compliance team to view the audit trails.

These audit trails are available with no extra work required from the analysts.


See audit trails across your entire investment process

An audit trail of your investment decisions, not just your research

Company and Team audit trails give you the full picture across all your research activities.

 

See how all the various research activities supported your investment decision.

 

Comply with regulator queries by easily answering what you or the team were thinking at a particular point in time

Drill down

Team, Company and Individual Artefact level granularity.


Team Audit Trails


Company Audit Trails


Individual Audit Trails:

Research Notes

Models

Meetings

Scorecards


Why Calibre?

At Calibre we have been helping asset managers with their research and investment processes for almost 20 years. Our domain specific expertise in equity research is trusted by top-tier fund managers because we are a proven solution that they have worked with over time.


Contact US

To discuss your options and how we could help you:

call us on +61 2 8319 9462

email us at solutions@calibreft.com.au

or get in touch using the form below