Asset Management & Funds
Portfolio compliance. Automated.
Asset managers, fund administrators, and investment firms face a new era of digital compliance. DORA mandates ICT resilience for the entire financial sector, MiFID II governs operational and reporting obligations, AIFMD adds risk management requirements for alternative funds, and SFDR demands ESG transparency. Matproof automates compliance across these overlapping frameworks so your portfolio managers focus on returns, not regulatory paperwork.
Book a demoKey Compliance Challenges in Asset Management
DORA scope explicitly includes UCITS management companies, alternative investment fund managers, and investment firms. All five DORA pillars apply - ICT risk management, incident reporting, resilience testing, third-party oversight, and information sharing. Firms that assumed DORA was only for banks face a steep compliance curve.
MiFID II already imposes organizational requirements, business continuity obligations, and client data protection standards. DORA adds ICT-specific layers on top. Firms must demonstrate compliance with both frameworks without duplicating controls, evidence, or documentation - a mapping challenge that manual processes cannot handle efficiently.
Alternative investment fund managers must maintain operational risk management frameworks under AIFMD, including ICT resilience, business continuity, and disaster recovery. These overlap with DORA but use different terminology and reporting structures, requiring careful cross-framework alignment.
The Sustainable Finance Disclosure Regulation requires asset managers to classify funds, disclose sustainability risks, and report on principal adverse impacts. Integrating SFDR compliance into existing operational and risk management frameworks adds another layer of complexity to an already demanding regulatory stack.
Frameworks That Apply to Asset Management
Asset managers face a dense regulatory stack spanning digital resilience, conduct, risk management, and sustainability.
Mandatory for UCITS management companies, AIFMs, and investment firms. All 5 pillars apply, with particular emphasis on third-party ICT provider oversight for outsourced fund administration and trading systems.
Governs organizational requirements, client protection, and operational resilience for investment firms. MiFID II obligations overlap significantly with DORA in areas of business continuity and ICT governance.
Alternative Investment Fund Managers Directive imposes risk management, operational, and reporting requirements for managers of hedge funds, private equity, and real estate funds.
Sustainable Finance Disclosure Regulation requires sustainability risk integration, fund classification (Art. 6/8/9), and principal adverse impact reporting for all EU-marketed funds.
How Matproof Helps Asset Managers
Compliance automation built for the investment management industry.
Map controls across DORA and MiFID II in one platform. Matproof identifies where obligations overlap - business continuity, ICT governance, client data protection - and where net-new controls are needed. Your compliance team reviews a unified control set instead of maintaining parallel frameworks.
Build and maintain the DORA Article 28 register of all ICT third-party providers - fund administrators, data vendors, trading platforms, cloud providers. AI-assisted criticality scoring, contract tracking, and concentration risk analysis for your entire vendor ecosystem.
Integrate SFDR disclosure requirements into your compliance workflow. Track fund classifications, principal adverse impact indicators, and sustainability risk assessments alongside your operational compliance - all in one dashboard.
Asset managers operating across EU jurisdictions need compliant data handling for investor records, trading data, and regulatory filings. Matproof tracks data residency requirements and ensures compliance with national supervisory expectations across all operating jurisdictions.
Asset Management Compliance in Numbers
assets under management in EU funds
financial entities in DORA scope
maximum DORA fine for non-compliance
DORA incident initial notification deadline