Marathon Asset Management. MiFID II, end-to-end.
Data integration that the firm could trust to publish numbers from. A multi-service trading-reporting system to meet MiFID II's submission requirements. Bloomberg corporate data wired into the compliance monitor. And a portfolio-management codebase taken from suboptimal to testable.
- Client
- Marathon Asset Management
- Sector
- Finance · global credit
- Engagement
- Compliance · trading reports · portfolio mgmt
- Regulatory scope
- MiFID II — trading reports, firm + personal-trade compliance
- Data sources
- Bloomberg corporate data + internal pipelines
- Performed by
- ShiftCTRL
A regulated firm scaling its operational floor.
Marathon Asset Management is an investment management firm whose growth was bringing data integration, regulatory compliance, and portfolio management to a point where the existing systems were no longer the right substrate. The regulatory burden — MiFID II in particular — placed sharp expectations on submission timing and accuracy that manual workflows were no longer well-positioned to meet.
ShiftCTRL was engaged to design and ship the systems underneath: a robust integration layer, a multi-service trading-reporting pipeline, a sharper compliance monitor, and an upgrade in the portfolio-management codebase itself.
Four problems. One regulated environment.
Unreliable data integration.
Inefficient and error-prone integration processes were undermining confidence in the automated workflows underneath financial reporting.
Regulatory compliance — MiFID II.
The firm needed a comprehensive solution to meet MiFID II's trading-report requirements — timely, accurate submissions to regulatory authorities.
Compliance monitoring sensitivity.
Existing systems lacked the sensitivity to detect potential compliance issues across both firm and personal trades, raising the risk of regulatory breaches.
Portfolio-management code quality.
Outdated systems and suboptimal code quality were limiting the efficiency and reliability of portfolio operations.
Four work-streams, run in parallel.
Robust data integration.
Improved automated workflows. Error-handling at the boundary, with explicit recovery paths.
// IMPACT Integration became reliable enough that the firm could trust its data for critical financial reports and strategic decisions.MiFID II trading-report pipeline.
A multi-service trading-reporting system designed and implemented to automate the generation and submission of trading reports under MiFID II.
// IMPACT Manual reporting errors eliminated. Submissions on time. Regulatory exposure on this surface materially reduced.Bloomberg-backed compliance monitoring.
Bloomberg corporate data integrated into the compliance monitor. The updated systems caught potential compliance issues earlier and more reliably across both firm and personal trades.
// IMPACT Proactive detection of compliance issues, protecting the firm and its clients from regulatory breaches.Portfolio-management codebase upgrade.
Improved code quality, readability, and testability of the portfolio-management system.
// IMPACT More efficient and reliable operations underneath the portfolio team.
Where the regulated floor stands today.
Increased data accuracy.
Reliable integration boosts confidence in financial reports and decision-making.
Regulatory compliance.
Automated trading reporting ensures MiFID II compliance, reducing regulatory risk and protecting the firm's reputation.
Proactive compliance monitoring.
Earlier detection and resolution of potential compliance issues across firm and personal trades.
Operational efficiency.
Optimized portfolio-management systems improving efficiency and reliability across the team's daily work.
// DISCLAIMER · INDEPENDENT-AGENCY TERMS
This case study is presented for informational purposes only and illustrates the professional services performed by ShiftCTRL in collaboration with the named client. By accessing or referencing this case study, you acknowledge and agree to the following terms.
- Independent agency status.ShiftCTRL operates as an independent engineering firm providing professional services including consulting, software development, system design, implementation, and optimization.
- Ownership of intellectual property.All intellectual property — including patents, trademarks, copyrights, trade secrets, and other proprietary rights associated with the systems described — is the sole property of the respective client. ShiftCTRL does not claim ownership over any intellectual property developed during its engagements.
- Client responsibility.The client retains full ownership, responsibility, and control over their technology, systems, and data. ShiftCTRL's role is strictly limited to providing professional services as outlined in the contractual agreement.
- No endorsement or affiliation.This case study does not imply formal endorsement, partnership, or affiliation between ShiftCTRL and the client unless explicitly stated in writing by both parties.
- Confidentiality and non-disclosure.ShiftCTRL upholds the privacy and confidentiality agreements in place with its clients. All information presented adheres to those obligations; sensitive details are omitted or anonymized where required.
- Limitation of liability.ShiftCTRL is not liable for any direct, indirect, incidental, consequential, or special damages arising from the use or interpretation of this case study. Outcomes are specific to the client's circumstances and are not warranties of similar results for other engagements.
- Scope of responsibility.ShiftCTRL's responsibilities for the operation, maintenance, performance, security, or compliance of the systems described are defined by the contractual agreement established with the client and do not extend beyond its terms.
Compliance system that needs an upgrade?
MiFID II, MAR, SEC reporting, internal compliance monitors — the patterns are similar enough that we can usually scope the work in one conversation. Tell us what regulator you're answering to.