- Build your risk-based Compliance Monitoring Programme, defining risks and sub-risks, and testing methods and objectives.
- Assign testing actions to colleagues and track results and the status of corrective follow-up actions.
Regulatory Change Management
- Receive automated data regulatory update feeds of all relevant output from the regulators that affect you.
- Dismiss irrelevant regulatory updates and process those that are of interest to you.
- Share with colleagues and add actions that need to be completed to implement the regulatory change.
Incidents & Breaches
- Define an unlimited number of breaches ‘ types’ – from SARs to trading errors.
- Create a workflow, define customer fields to suit your business and process and action them.
- Manage your register and corrective actions to demonstrate to all stakeholders your control over regulatory breaches.
- Log all your compliance documents in a central location.
- Manage version control and update policies as required.
- Send them for attestation and check progress.
- See all compliance tasks for yourself, your team or the whole company within a single screen.
- Search for specific employees or outstanding and overdue tasks.
- Follow-up, reassign and action as required.