For most firms, 2017 was a year filled with preparation for the new MiFID II regulations...
Now, we move to a new focus: implementation and management. Visible Alpha has evolved to keep pace with this change. In addition to the research resource tracking, budgeting and evaluation tools launched last year, we now offer a comprehensive solution for managing contracts, trials and inducements. All of this is connected to our existing offering so that managing your provider relationships in this complex regulatory environment is simple.
Another layer of protection against inducements
Everything you need to know about each provider in one place
Stronger controls around managing inducements via email
Manage your risk of MiFID II inducements across all research providers and vendor channels. Easily track providers and evaluate which vendors may be out of compliance.
*Entitlements are updated in real-time for Visible Alpha and a selection of other vendors.
Organize your vendor list
Identify the teams and/or individual users who should have access to certain vendors
Visualize discrepancies in entitlements
See alert icons when vendors are not compliant with entitlements set*
Simplify communication to vendors
Communicate with vendors who are not compliant with greater certainty
Improve the efficiency of managing your business in a MiFID II world. Track and manage provider trials, contracts, contacts and relationships.
- Manage all contract documents including start and end dates across all your providers
- Maintain compliance with the new trial guidelines under MiFID II and receive alerts when new provider trials are beginning or ending
Implement greater controls around limiting potential inducements via email. Through an automated or Outlook Plug-In solution, flag any emails containing research and communicate directly with providers to correct any potential issues.
Download an Outlook Plug-In
Identify emails that may contain unapproved research so they can be flagged with your administrator
Employ an automated solution
Reduce the burden on your investment professionals by employing an automated solution that identifies potential inducements
Improve compliance controls
Implement a compliant process for reporting potential inducements to your providers
Manage your firm in MiFID II and beyond
Get started with Visible Alpha’s Research Management Tools