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?

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Three key benefits

Governance

My Compliance Centre keeps comprehensive audit trails. Categorise entries to ensure easy reporting.

Monitoring

Assign remedial actions and keep track of any additional information requirements so that these are not forgotten.

Reporting

Dashboard and reporting suite offer real-time management information at your fingertips.

Available Registers

Breaches (including Conduct Breaches)

Complaints

Conflicts of Interest

Financial Crime Incidents

Financial Promotions

Gifts and Hospitality

Personal Account Dealing

There's a better way

Modernise your compliance management with a single, shared and integrated cloud-based solution. Specifically designed for firms that offer regulated financial services and in sectors that include Asset Management, Banking, Capital Markets, Consumer Credit, Corporate Finance, Fintech, Insurance, Investment Management, Payment Services, Private Equity, Venture Capital and Wealth Management.

Enhanced governance

Stronger governance

Complete transparency and visibility of your compliance management, enhancing the ways in which you think about, identify, and manage your regulatory risk.

EVIDENCE COMPLIANCE

Evidences your compliance

My Compliance Centre offers a complete audit trail so that you can easily evidence your compliance to your board and, if they were to ask, the regulators.

achieve more

Increases confidence

Get a bird's eye view or drill down into the detail. With this information at your fingertips, you can be confident that you are on top of everything.

REDUCES RISK

Reduces compliance risk

Ensures your compliance framework keeps pace with regulatory developments. Gives you visibility of all scheduled and ad-hoc tasks and remedial activities.

Single source

Single source of truth

One integrated platform so you can be sure to find the information you need, when you need it, without any fuss or version control confusion.

Take a look at My Compliance Centre

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