Regulators are increasingly asking for the research evidence that led to an investment decision.
Here’s how to provide it.
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
Audit and compliance features are embedded into every research activity and allow you to:
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.
Meetings and Interactions
Give compliance controlled access, without unnecessary processes
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
Team, Company and Individual Artefact level granularity.
Team Audit Trails
Company Audit Trails
Individual Audit Trails:
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.
To discuss your options and how we could help you:
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