Assign functions and responsibilities
Actively track, record and manage the status of regulatory responsibilities for all staff.
Produce Statement of Responsibilities
Report on staff responsibilities, and assign those unallocated to ensure compliance.
Record Conduct Rules training and breaches
Record details of Conduct Rules training and document any breaches on employee profiles.
Record fitness and propriety assessments
Demonstrate assessments are up to date and allocated staff are fit and proper.
Audit trails and historical reporting
Full tracking of all activities and ability to report on historical compliance status at any time.
Management reporting and dashboards
Comprehensive reporting and high level dashboards to monitor compliance status.
Activity reminders and alerts
Notifications of outstanding actions so you never miss a task.
Reasonable steps reporting
Allows SMFs to document steps taken to stop breaches occurring in responsibility areas.
Produce responsibilities map
Generate responsibilities maps for all SMFs, with job titles/descriptions as required.
Manage SM&CR from one central place
- Tools to manage all components of your SM&CR compliance.
- Information stored for staff across your entire organisation in one place.
- Track and record key dates or changes to your regime quickly and effectively.
- Tasks and reminders ensure you don't have any gaps.
- Access reports for the board, risk committee and, if needed, the FCA and other regulators at the touch of a button.
Complete transparency and visibility of your compliance management, enhancing the ways in which you think about, identify, and manage your regulatory risk.
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.
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 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 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.