Compliance Monitoring
Assign and track testing, monitoring and remediation activities through to completion.
FileChecker
Track the review, manage remedial actions, complete quality assurance and produce management reports.
SMCR System
Keep your Senior Managers and Certification Regime on track and get the documents you need.
Compliance Advice
Receive, manage and store compliance enquiries from staff, customers and other stakeholders.
Document Manager
Benefit from full version control, easily share documents and track receipt and acknowledgements.
Regulatory Change
Automated data feed of regulatory developments. Assign, track and manage changes to policies, procedures, systems and controls.
Compliance Registers
It’s a standard task but one that often results in many different Excel worksheets. Why not simplify your processes with all your registers in one place and with automated workflow?
Boards & Committees
Manage your entire governance structure, with all key information in one place.
Personal Account Dealing (PAD)
Customise and configure your own internal PA Dealing process.
Manage the workflow using your preferred authorisation and approval levels.
Hold employee portfolios records and ensure employees maintain them.
Access 3rd party security lookup services.
Financial Promotions
Manage your Financial Promotions using a flexible and configurable workflow to automatically process new Financial Promotions through to completion.
Incidents & Breaches
Manage regulatory breaches with ease. Categorise incidents in line with your own risk reporting and ensure remedial actions are completed.
Gifts & Entertainment
Create, manage, track and evidence your compliance monitoring programme.
Take a look at My Compliance Centre
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