Personal tools


We use cookies to personalize content and ads and to analyze our traffic.
We also share information about your use of our site with our advertising and analytics partners. See details.

We use cookies to personalize content, ads, analyze traffic and share information about your use of our site. See details.





Financial services firms face exponential increases in the risks and costs associated with new and enhanced regulatory mandates. From conversations with our clients across the world, we know that regulatory compliance management, from MiFID II to Solvency II, is becoming disproportionately burdensome and confusing. That’s why, as a trusted partner to the global investment community for 40 years, we’ve set out to create cutting-edge, integrated, regulation-ready solutions that will begin to streamline your regulatory compliance management.

Your Trusted Partner for Financial Regulatory Solutions

Activating a compliance strategy is difficult. We’re here to help, with the flexible, consultative approach you’ve come to expect from FactSet. Talk to our regulatory specialists about your challenges, and we’ll help you figure out the most effective solution—without disrupting your investment process.

We bring together industry expertise, reliably connected data, portfolio analytics and client reporting, and strategic partnerships to help you address many regulations and standards, including:

Insight Beyond Regulatory Requirements

Because our regulatory solutions integrate seamlessly with FactSet’s powerful analytics, you can leverage the data you need to address compliance, and find new answers in your multi-asset class portfolio and risk reporting. If your portfolio holdings are already loaded into our analytical tools, your implementation time will be minimal. The research management solutions that you need to address aspects of MAR and MiFID II, for example, can mean enhanced data governance that drives better trading decisions, smarter investment recommendations, and increased profit potential. Adding data that addresses the “50% rule” on sanctioned companies can mean revealing corporate hierarchy and ownership structures that could uncover investment opportunities. Furthermore, implementing robotic search to answer KYC and AML policy demands can actually make your processes faster, lower costs, and improve your risk management.

Rely on FactSet’s Smart Data Management

Lower your total cost of ownership and reduce the burden of managing multiple data sources by using FactSet’s enterprise-wide data management as a single source for your regulatory reporting data. With a single data system, you’ll be able to better understand your exposure and address look-through requirements. Moreover, you’ll get access to key reference data items, including LEI, NACE and CICs, and thousands of the essential security and entity reference data items needed to meet regulatory requirements like Solvency II, FATCA, and Dodd-Frank.

Take Advantage of Flexible Delivery Options

Get a robust, low-maintenance data delivery solution that will scale with your regulatory needs through FactSet’s data feeds. These flexible, automated data solutions can help you streamline your reporting obligations and comply with the disclosure and reporting requirements of PRIIPs KIDs, UCITs KIIDs, N-PORT, and more.


Leverage FactSet’s robust infrastructure and client portfolio integration service to meet the data demands of Form N-PORT reporting. If you are a current client of FactSet’s portfolio products, implementation of the Form N-PORT process is seamless. Utilizing the data in your current analytics workflow will enable you to avoid duplicate processes for Form N-PORT portfolio reporting. Use FactSet’s calculation engine to fulfill Form N-PORT fixed income and derivative analytical requirements, and receive broad Terms & Conditions coverage for your security universe. Benefit from a standard flat file that can be integrated into downstream systems, easing the data flow for the Form N-PORT reporting process. 


As KYC and AML requirements in jurisdictions around the world continue to increase, FactSet offers entity-centric data to meet your firm’s requirements. Leverage our entity-centric database to expose the direct and indirect relationships and hierarchies between entities, securities, people, and funds. We have partnered with Encompass to deliver policy automation and multi-source internal and external data integration and auditability. With robotic search and easy discovery of everything your KYC policy demands, Encompass delivers more efficient processes, resulting in lower costs and superior risk management.


Make the move from MiFID to the MiFID II/MiFIR regime as smoothly as possible. FactSet's integrated suite of solutions and industry-leading partners help you address research unbundling, best execution and order management, post-trade transparency, and client reporting requirements.

Research Unbundling and Commission Management

FactSet’s full-service solution for the challenges posed by MiFID II on research unbundling enables firms to integrate their proprietary research processes while addressing regulatory requirements.

  • Solutions for the Buy-Side: Easily consume, track, and rate research with our research management solution. Use entitlements to prevent access to unauthorized research and avoid any inducement to trade. Track and rate your interactions with sell-side research analysts, management teams, and other third parties, and use readership statistics data to track research consumption. You will also benefit from our close partnerships and integrations with broker voting and payment platforms to simplify the transfer of research consumption and interaction data.
  • Solutions for the Sell-Side: Ensure research is only seen by the appropriate clients using our entitlements system. Leverage readership data to measure and track research readership, and use our research management solution to track interactions with the buy-side. Automate the creation and distribution of tiered and separated compliant research to clients, premium clients, and prospects.

Best Execution

MiFID II raises the bar on best execution. With FactSet Portware, you get a versatile execution management system (EMS) that's flexible enough to implement your firm's order execution policy and rigorous enough to achieve and demonstrate your adherence to the new best execution standard, including the latest multi-asset TCA capabilities. From comprehensive market data to optimized trade routing and data capture, you gain an EMS with multi-asset capability. To support MiFID II compliance, we also offer periodic RTS 28 quality execution, cost exception, suspicious trade reports, and FIX re-certification.

Order Management

FactSet's flexible order management solution (OMS) will ensure your consistent adherence to MiFID II's order allocation and handling rules. Leveraging a customizable OMS ensures your clients' orders are being handled fairly and expeditiously, and enables multi-regime compliance through a compliance rules library and engine tailored to your firm.

Trade and Transaction Reporting

FactSet has partnered with leading service providers, offering certified OMS and EMS connectivity to APAs and ARMs, to deliver modular solutions supporting real-time and T+1 trade and transaction reporting under MiFID II.

Investor Protection and Cost and Risk Disclosures

Under MiFID II investor protection rules, firms must meet new transparency requirements on costs and risks and perform appropriateness and suitability checks based on manufacturer and distributor target market definitions. Our regulatory document and data solution, PrimeRDDS, provides MiFID II classification data on securities. These integrated solutions enable product governance, frontline advisory, and customer-facing portals with relevant information, processes, and tools to fulfill the MiFID II investor protection requirements.


Leverage FactSet’s robust infrastructure and client portfolio integration service to meet the data demands of PRIIPs. Our Portfolio Services team will ensure secure, accurate, and consistent processing of portfolio data to reduce the burden of data management. FactSet’s suite of reporting solutions provides flexibility in the delivery of data necessary for PRIIPs, and allows you to produce standardized KIDs. FactSet’s monitoring tools will alert you when it is time to produce the KID and when there is a material change. Rely on PrimeRDDS to assist you with sourcing PRIIPs metadata and KIDs. 

Solvency II

FactSet offers investment managers and insurance companies the industry’s most comprehensive and centralized solution to meet the data reporting requirements of Solvency II. We’ll help you demonstrate capital adequacy and meet compressive governance and self-risk assessment framework and risk metrics and capital requirements.

Whether you are looking for symbology, classifications, security and entity reference data, corporate and fund hierarchies, fixed income terms and conditions, derived analytics, portfolio characteristics, credit quality step, or look-through data, FactSet has a solution for you. Leverage a combination of our unique content and analytics, and an easy implementation process, to satisfy the Tripartite Template (TPT) format.