Doc & Data Cockpit

Regulatory Data and Document Hub

A service making sales people compliant ensuring access to and provision of the right documents. One source for all KIDs.

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Doc & Data Cockpit is an important tool for both manufacturers and distributors, ensuring their compliance with the following regulations: MiFID 2 product governance (target market), MiFID 2 (ex post and ex ante) cost & charges and PRIIPs & UCITS documents. To achieve ultimate compliance with regulations, Doc & Data Cockpit’s validations are based on an extensive industry and regulatory knowledge base and utilizing cutting-edge technologies: deep learning, pattern recognition and analysis of cross-industry big data.

The benefits of Doc & Data Cockpit for:

Manufacturers

Doc & Data Cockpit can be beneficial to you as a manufacturer, such as an investment bank, a fund manager or another type of issuer/manager, in the following ways:

Data dissemination: Generation of industry formats (e.g. EMT v1/2/3) and distribution to hubs and distributors.

Data validation: Verifying the integrity and consistency of generated MiFID 2 data and PRIIPs documents through analytics and learning techniques.

Synchronization: Ensuring the MiFID 2, PRIIPs and UCITS data and documents have been successfully updated in target hubs/systems.

Elimination of product blocking: Identifying products that have been blocked from trading by distributors.

Distributors

Doc & Data Cockpit can be beneficial to you as a distributor, such as a retail bank, a private bank, a wealth manager or an online broker, in the following ways:

Data collection: Retrieval of target market, cost & charges, PRIIPs KIDs and UCITS KIIDs from a variety of hubs and manufacturers.

Data validation: Verifying the integrity and consistency of generated MiFID 2 data and PRIIPs documents through analytics and learning techniques.

Compliance: Ensuring your compliance with MiFID 2 product governance, MiFID 2 costs & charges, PRIIPs & UCITS documents.

Distribution rules: Automated treatment of non-compliant products to avoid client complaints and regulatory fines.

 

Your Alert for Non-Compliant Products

Doc & Data Cockpit processes and analyses the data and provides a product quality score by using multiple validation rules. When a specific rule is breached, an alert is provided. The problems found are categorized by topics and by severity, for a better solution resolution. This assists institutions in the decision-making process by “ironing out” the high priority issues.

Validating texts in various languages

Validating calculated figures

Verifying consistency across different data sources and across different topics

Identifying exceptions by applying pattern recognition

Identifying exceptions by applying big data learning

  • 1.5M+processed products
  • 1000+reviewed manufacturers
  • 200+validation rules
  • 4MiFID & PRIIPs topics covered
  • 1purpose: enhancing our clients’ compliance

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