SIA EAGLE Intermediaries - Conflicts of Interest

MiFID II requires investment firms to take all appropriate steps to identify and to prevent conflicts of interest from adversely affecting the interest of their clients. Moreover, investment firms have to clearly disclose to clients the nature of conflic

Conflict Case Registry
The Conflict Case Registry is the official register of all the potential and actual conflicts of interest and it enables financial firms to effectively prevent and manage conflicts situations.
The Conflict Case Registry manages:
  • the definition of potential conflicts of interest as defined in the firm’s Conflicts of Interest Policy through a user friendly interface
  • interests and actual cases information, together with essential reference data: persons (natural body or legal entity), relationships (family, shareholding, corporate group, …), issuers and financial instruments
  • workflow of conflict cases, tracking the whole conflict history
  • the official recording of conflict cases, under European regulations
Dynamic Conflict Identification Framework
The Dynamic Conflict Identification Framework, using the defined potential conflicts and all the reference and interest data, applies detection algorithms identifying in real time actual conflict cases.
The Framework implements a standard set of detection algorithms, covering the most common conflict reasons. New identification algorithms can be easily created by users, re-combining existing checking elements.

COI Advanced Reporting
Given the increasing need for the generation of ad-hoc and occasional reports and considering the huge amount and variety of the data managed by Conflicts of Interest Modules, this module allows users to create their own reports with easy and effective wizards.
SIA EAGLE Intermediaries - The sharp-eyed of compliance tool Download (PDF 453.35 KB)
SIA EAGLE Intermediaries - Conflicts of Interest Download (PDF 536.73 KB)