For fund managers and depositary banks, compliance with regulatory frameworks such as UCITS and COLL 5.2 can be a significant operational challenge. The demands of ensuring accuracy, maintaining detailed audit trails, and adhering to strict timelines often consume valuable internal resources. Thankfully, advancements in technology are paving the way for more efficient, accurate, and streamlined processes.

Thomas Murray’s Market Eligibility Due Diligence tool has been designed to address many of the common challenges faced by compliance teams. By centralising and validating critical market data, this tool enables users to streamline processes while maintaining the high standards demanded by regulatory frameworks.

Speed: Accelerating the Compliance Process

Compliance requirements often involve a considerable amount of labour-intensive tasks. Whether it’s reviewing market eligibility or ensuring diversification thresholds are met, manual processes can quickly become bottlenecks.

Technology-driven solutions, particularly those that leverage centralised databases, can address these challenges by streamlining how data is collected, organised, and utilised. For instance, instead of painstakingly reviewing individual market profiles or manually inputting information, fund managers can rely on systems that automate these steps. These solutions ensure compliance reviews are faster and less prone to delays caused by human error.

By utilising a centralised and validated source of market information, such systems can automatically populate compliance reports and surveys with accurate data. This drastically reduces repetitive tasks. The result is a significant reduction in the compliance cycle, saving hours—or even days—while maintaining high levels of precision.

These systems also provide pre-prepared, regulator-ready reports, demonstrating that eligibility and operational suitability research has been performed, speeding up the time required to prepare compliance evidence.

Freedom: Leveraging Internal Resources for Strategic Work

One of the greatest advantages of leveraging technology in compliance is the ability to reallocate internal resources. Compliance teams often spend substantial time and energy on repetitive tasks such as reviewing market eligibility, preparing reports, or ensuring adherence to regulations like UCITS and COLL 5.2. Rather than dedicating hours to administrative tasks like those described above, teams can focus on higher-value activities, such as enhancing fund performance or exploring new investment opportunities.

With Thomas Murray’s Market Eligibility Due Diligence service, operational cadences can be streamlined with cross-functional collaboration, allowing documentation to be seamlessly shared with internal Operations and Compliance teams, transforming operational research into a strategic advantage. 

Additionally, ongoing monitoring of market developments ensures that fund managers remain compliant even as environments shift, reducing the need for constant manual re-evaluations. This continuous assessment strengthens both the operational and regulatory integrity of compliance processes going beyond the basic requirements.

Balancing Efficiency and Compliance

Compliance with UCITS and COLL 5.2 requirements is non-negotiable, but it doesn’t have to come at the expense of operational efficiency. By adopting a more technology-driven approach, fund managers can meet regulatory standards without taking up too much resource. Tools that integrate validated market data into compliance workflows provide a practical way to navigate increasingly complex regulations, ensuring that processes are both robust and efficient.

In this way, Thomas Murray’s Market Eligibility Due Diligence solution can support investment fund teams work smarter, not harder, increasing efficiency, accuracy, and ultimately allowing them to serve their clients better.

From initial data evaluation to generating detailed, country-specific reports, systems like these ensure that every step of the compliance process is aligned with regulatory expectations. By providing clear evidence that investment due diligence has been performed, they also bolster the confidence of internal teams, stakeholders, and regulators alike.

In a world where regulatory demands are only growing, embracing tools and systems that streamline compliance is essential—not just to meet requirements but to maintain a competitive edge in the market. With the right approach, fund managers can shift their focus from compliance as a burden to compliance as an opportunity for growth and innovation.

 

Enhance your investment strategy with Market Eligibility Due Diligence