Compliance Software for Capital Market products | GoodCore

Our client enforces regulation across the financial markets and has the ultimate responsibility of protecting the investor. Apart from discharging its regulatory functions, it is also obliged by statute to encourage and promote the development of the securities and derivatives markets in Malaysia.

financial compliance software

The Challenge

Our client enforces a regulatory framework around the launching of Unlisted Capital Market investment products e.g. Private Debt Securities, Wholesale Funds and Structured Products. For years, this complex process was managed via Excel sheets and information scattered across documents and emails. Our client wanted to develop software that would help them automate this process. This project necessitated for our team to acquire understanding of fairly complex industry rules, financial calculations, and operational requirements at our client organization.

The Solution

After extensive domain knowledge transfer sessions and a documentation exercise spanning over months, we were able to translate the business requirements into a functional feature set for the envisioned software. We then architected and developed a powerful application to help our client streamline their regulatory function.

The software is used by industry players to submit information about their investment products to the regulator. On the backend, the system offers sophisticated tools and functionality to the regulator to manage all aspects of compliance. The system offers extensive audit trails, implements enforcement rules and calculations.

the solution
the impact

The Impact

After the first successful release of the software in 2015, we have helped launch software upgrades in years 2016, 2017, and 2018 to the platform in-line with our client’s business requirements. This has helped them perform their important regulatory function around Unlisted Capital Market investment products.


Requirements Analysis

  • Domain knowledge acquisition
  • Identifying the needs, expectations and goals of the product
  • Highly extensive URS and brainstorming sessions with customer and GoodCore team
  • Careful Risk Assessment
  • Conceptual and visual design with highly interactive Prototype development

Design, Development & Technologies

  • Highly interactive front end using JQuery, bootstrap
  • Highly secured architecture, design and code implementation
  • MVC Architecture 5.0
  • Completion of project under strict timelines

Testing & Launch

  • White box & black box testing
  • Launch on Staging & Live Environments
  • Post Launch Testing, support and enhancements

Technologies Used

  • entity framework
  • sql-server
  • .net frame work
  • j Query
  • bootstrap