SPi Global’s Research and Email Classification Service Can Help

New Markets in Financial Instruments Directive (MiFID II) regulations mean firms that receive research via email could be putting themselves at a major compliance risk. Using Natural Language Processing algorithms and predefined business rules, SPi Global’s technology is able to classify email content received and evaluate it for potential inducements. This significantly reduces email-based inducements and allows investment professionals the confidence they are being compliant.

The Research and Email Classification Service Application Architecture

Guide your firm with a comprehensive view

Our platform is designed to complement corporate and compliance policies through a flexible monitoring solution that integrates to your team members' workflow. Data analytics can provide greater visibility into interactions and activities across the value chain, providing insights that help mitigate risk through improved operational performance and transparency.

The Research and Email Classification Service Application Architecture

  • Email extraction from Microsoft Exchange, Google or other email solutions

  • Normalize email content and store information

  • Extract email attachment content from email server

  • Normalize and enrich attachment content and store information

  • NLP/Business Logic for Basic “Research”/ “Non Research”

  • Classify Research based on extracted email content using Entitled Research reference data. NOTE: ECS will maintain its own reference data table

  • Audit reports for compliance, management and audit trail for regulatory compliance

  • Alerts can be set for end users, compliance or management

  • Secured deployment on site and within a firm’s own firewall

  • Secure cloud deployment through VPC or approved hosting vendors

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Is your firm at risk?

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New Markets in Financial Instruments Directive (MiFID II) regulations mean firms that receive research via email could be putting themselves at a major compliance risk. Using Natural Language Processing algorithms and predefined business rules, SPi Global’s technology is able to classify email content received and evaluate it for potential inducements. This significantly reduces email-based inducements and allows investment professionals the confidence they are being compliant.

Architecture Banner (3rd Stack): 
Architecture Text (3rd Stack): 

Guide your firm with a comprehensive view

Our platform is designed to complement corporate and compliance policies through a flexible monitoring solution that integrates to your team members' workflow. Data analytics can provide greater visibility into interactions and activities across the value chain, providing insights that help mitigate risk through improved operational performance and transparency.

Research Title (2nd Stack): 
SPi Global’s Research and Email Classification Service Can Help
Architecture Title (3rd Stack): 
The Research and Email Classification Service Application Architecture
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Services Title: 
Features of the Research and Email Classification Service:
Services: 
Service Title: 
Email Extraction
Service List: 
Email extraction from Microsoft Exchange, Google or other email solutions
Normalize email content and store information
Service Title: 
PDF/Word Content Extraction
Service List: 
Extract email attachment content from email server
Normalize and enrich attachment content and store information
Service Title: 
Research Classification
Service List: 
NLP/Business Logic for Basic “Research”/ “Non Research”
Classify Research based on extracted email content using Entitled Research reference data. NOTE: ECS will maintain its own reference data table
Service Title: 
Audit Reports and Alerts
Service List: 
Audit reports for compliance, management and audit trail for regulatory compliance
Alerts can be set for end users, compliance or management
Service Title: 
Data Security
Service List: 
Secured deployment on site and within a firm’s own firewall
Secure cloud deployment through VPC or approved hosting vendors

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