Private markets regulation - embed robust governance with Delio

The unique complexities of accessing, promoting and transacting private market investments often create significant regulatory challenges that financial institutions struggle to overcome. Delio Core digitises every aspect of your governance framework so that you have complete confidence that your private markets proposition is water tight from a regulatory perspective.

Your platform enables you to automate every procedural workflow and tailor approval processes to your own standards. This ensures that all tasks, actions and approvals follow a rigorous, pre-approved process and are digitally tracked each step of the way. Share information, exchange documentation, manage subscriptions and use e-signatures safe in the knowledge that you’re creating an audit trail that satisfies the most rigorous of compliance checks.

Customise workflow approvals and management

Delio Core enables you to configure specific regulatory checks and approval processes on a deal-by-deal basis, allowing you to replicate even the most granular of operational processes digitally. This means you can assign approvals to specific users, restrict investor access to confidential information until legal checks have been completed, and mitigate the risk of staff unintentionally bypassing your governance policies.

Mitigate the risk of non-compliant deal distribution

Thanks to your platform’s robust investor profiling and deal distribution tools, the risk of investors being exposed to inappropriate opportunities is greatly reduced. Investors’ access to deal listings can be limited based on their regulatory profile, jurisdiction and other criteria, while the ability to configure both automated and manual regulatory checks into your workflows provides an extra layer of regulatory protection.

Profile your investors to effectively manage regulatory risk

As many financial institutions widen investor access to alternative assets, the challenge of ensuring that they are only exposed to appropriate opportunities has never been greater. As investors are onboarded to your platform, it captures vital information that generates a highly detailed regulatory profile that is configured to your own standards. This ‘digital passport’ determines which investment opportunities they can then access through the platform.

Automatically generate digital audit trails of all activity

As the centralised digital hub for all your private markets activity, Delio Core tracks every task and investor action associated with a deal. This means that your platform is automatically generating a digital audit trail that provides clear regulatory oversight, as well as a highly granular view of individual decisions and approvals on a deal-by-deal basis.

Take the pain out of cross-border onboarding and distribution

The management of investors in different jurisdictions is one of the main regulatory headaches for financial institutions. Delio Core mitigates these challenges by enabling you to customise your investor onboarding and deal distribution processes based on where the client operates from. Specific compliance checks, documentation, and other jurisdictional requirements can be integrated into the platform’s workflows to simplify your processes for a global investor base.

Digitise your KYC and AML processes

KYC and AML checks can be integrated into your Delio platform to fully digitise the collection of vital client data. The use of a next-generation facial recognition app creates a slick and intuitive experience for investors and allows checks to be completed in real-time, saving time, effort and resources.

Create ‘one true view’ through centralised document management

Delio Core provides controlled access to all deal information through its configurable data room. Automated document synchronisation and lockable folders enable you to securely store, manage and distribute confidential information based on your own strict parameters, while e-signature technology facilitates instant online access for investors as soon as compliance checks have been passed.

Embed robust governance throughout the investment lifecycle

How Delio Core adds value