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Regulatory Compliance Document Management Application for Financial Services
  1. case
  2. Regulatory Compliance Document Management Application for Financial Services

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Regulatory Compliance Document Management Application for Financial Services

knubisoft.com
Financial services
Information technology
Venture capital

Regulatory Compliance Challenges in Financial Services Documentation

Regulatory changes under MiFID II introduced stringent requirements for product governance and investment advice documentation. Financial institutions faced inefficiencies in managing staff-related compliance documents, including manual processes for data collection, verification, and audit preparation. Non-compliance risks and operational inefficiencies threatened business continuity and investor confidence.

About the Client

Europe’s largest venture capital firm with global presence, investing in early-stage to series A startups across technology and financial services sectors

Key Project Goals

  • Develop a centralized document management system for MiFID II compliance
  • Automate document collation, storage, and comparison processes
  • Ensure secure access for managers and investors
  • Reduce manual effort in regulatory reporting
  • Maintain audit-ready documentation workflows

Core System Requirements

  • User role-based document upload and access control
  • Automated document validation against MiFID II requirements
  • Version-controlled document storage with audit trails
  • Comparative analysis tools for document revisions
  • Compliance status dashboard for managers
  • Secure investor portal for document review
  • Automated notification system for document updates

Technology Stack

.NET
ASP.NET
Azure Functions
SQL Azure
Unit.NET

System Integrations

  • Azure Active Directory for identity management
  • Third-party regulatory compliance APIs
  • Cloud storage services for document retention
  • Investor communication platforms

Non-Functional Requirements

  • Enterprise-grade data encryption at rest and in transit
  • High-availability architecture with 99.9% uptime SLA
  • Scalable document processing for 10,000+ concurrent users
  • Compliance with GDPR and MiFID II audit standards
  • Performance optimization for large document sets

Expected Business Impact

The application will reduce document management overhead by 60% through automation, eliminate compliance risks with real-time regulatory tracking, and improve investor confidence through transparent documentation processes. Centralized document control will enable faster audit preparation and reduce operational costs associated with manual compliance management.

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