MIFID
Developing an application that helps company managers and investors efficiently monitor all necessary documents under stringent MiFID II regulations, to streamline document management and ensure seamless regulatory compliance.
Our client is a leading international venture capital firm with offices across Europe, North America, and Asia, investing in high-growth startups from seed funding through Series A.
Challenge
Due to stringent MiFID II regulations, EU investment services faced the critical need to enforce strict product governance and independent advice requirements. Company needed a solution to:
- Automate collation and storage of all necessary compliance documents for both staff and product offerings.
- Ensure version control, easy comparison, and secure user management for managers and investors.
- Integrate all MiFID II requirements into the app’s design and workflow from the outset.
Solution
Simplified Document Collation
Built a .NET-based application with ASP.NET Core front-end and Azure Functions back-end, allowing users to seamlessly upload, categorize, and retrieve regulatory documents via a unified portal.
Secure Storage & Versioning
Utilized SQL Azure for encrypted document storage and implemented comprehensive auditing features, tracking uploads, edits, and approvals to meet compliance audit standards.
Efficient Review Workflows
Developed intuitive UI components for side-by-side document comparison and annotation, enabling managers and investors to quickly verify governance and advice records.
Our success stories
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