For Compliance Officers & MLROs
Stay regulator-ready without the firefighting.
Regulatory and compliance transformation for boutique investment management compliance teams. Regulatory & Compliance, KYC & Onboarding, plus Side Letter Tracker (Build Basket) and Ask Bloxii Compliance Edition (Build Basket) give compliance officers and MLROs continuous always-on monitoring, FCA-ready filings, and audit trail every action.
What you get
Three things that change. From day one.
Form Gabriel and MiFID II in hours, not days
Regulatory & Compliance pre-populates from existing customer data, validates against FCA rules, partner sign-off, automated submission. Save 30–40 hours per cycle (~120–160 hours per year).
Always-on KYC monitoring
Beneficial owner status, sanctions, adverse-media flags surface as they change (not at periodic review). Pattern: RelyComply continuous-monitoring approach generalised to firm-wide compliance posture.
MFN compliance evaluated continuously
Side Letter Tracker (Build Basket — pre-validated, ships when customers vote it next) evaluates MFN clauses continuously against new investor agreements. No more retrospective MFN audits.
SMCR senior manager protection
Direct value for senior managers personally liable under SMCR. Audit trail every action. Compliance evidence generation automatic. Every regulatory submission is logged, timestamped, and audit-ready.
Use cases
Specific workflows. Specific outputs.
FCA Form Gabriel quarterly cycle
Regulatory & Compliance pre-populates returns from your existing data, validates against current FCA rules, surfaces exceptions for partner review.
AIFMD Annex IV reporting
Pre-population of AIFMD Annex IV submissions from existing data sources. Validation against current AIFMD rules.
MiFID II reporting
Transaction reporting drafted and validated. Outputs partner-ready submissions.
Side letter MFN monitoring
Side Letter Tracker (Build Basket) continuously monitors MFN clauses across the LP base.
AML transaction monitoring
AML Transaction Monitoring (Build Basket — wealth/family-office expansion) flags suspicious patterns, generates evidence trail.
DDQ response automation
DDQ Response Automation (Build Basket — pre-validated) drafts due diligence responses from your firm’s accumulated answer library.
“Form Gabriel costs us 35 partner-hours every quarter.”
Compliance Director · Mid-market IM
Ready to stop firefighting compliance?
Book a discovery call. Your prospective Operations Engineer will scope your regulatory cycle and walk through how Bloxii’s Regulatory & Compliance + Build Basket compliance candidates fit your firm.