Why choose our financial
compliance software?
Monitor
employee activity
Mitigate
risk
Improve
efficiency
Create
time
Benefits:
Protects against legislation breaches
Increases user engagement with a simple easy-to-use interface
Improves efficiency with tailored workflows
Enhances overall productivity with reduced manual labour
Provides full audit history and no more paperworkGreat new efficient system. A vast improvement and a stride towards a paperless business!FE Alpha Fund Manager
Delivering cost and time-efficient compliance
Personal Account Dealing
- Custom Workflows: Tailor approval processes and set priorities.
- Comprehensive Checks: Conduct pre-trade and post-trade checks.
- Security Search: Access Bloomberg data and submit custom securities.
- Automated Restrictions: Apply manual or automated restrictions.
- Detailed Reporting: Generate custom reports and maintain archives.
- Annual Reviews: Ensure compliance with annual attestations.
- Full Auditing: Perform complete system audits and breach checks.
- Custom Notifications: Set personalised email alerts.
- System Integration: Integrate with trading systems for comprehensive data checks.
- User Roles: Manage access with defined user roles.
Gifts and Hospitality
- Approval and Attestation: Simplify the approval process with built-in attestation features.
- Flexible Forms: Use customisable forms to capture all necessary information.
- Custom Workflows: Design approval workflows tailored to your organisation's needs.
- Email Notifications: Set custom triggers for email alerts to stay informed.
- Detailed Reporting: Generate comprehensive reports to track and analyse data.
Outside Business and Political Activity
- Flexible Declaration Forms: Easily capture and manage declarations.
- Custom Notification Workflows: Tailor notification processes to your needs.
- Annual Attestation/Review: Ensure ongoing compliance with yearly reviews.
- Ad-Hoc Triggers: Set specific triggers for declaration requirements.
- Comprehensive Reporting: Generate detailed reports for analysis and oversight.
Incident Case Management
- Comprehensive Case Creation: Create and manage cases, linking relevant portal data.
- Incident Types: Address breaches, errors, and near misses.
- Flexible Review Workflows: Customise workflows for reviewing and resubmitting cases.
- Seamless Revisions: Easily send cases back for review and re-submission.
- Detailed Reporting: Generate comprehensive reports for better oversight.
Action Tracker
- Create and Manage Actions: Easily create, assign, and manage actions.
- Flexible Forms: Assign tasks to multiple users for collaborative efforts.
- Detailed Monitoring: Track progress and ensure completion of assigned actions.
- Scoring and Mitigation: Score actions and implement mitigation strategies as needed.
Monitor, Score and Mitigate Corporate Risk
- Risk Scorecard: Monitor risks with a regular scoring mechanism.
- Custom Scoring Options: Utilise bespoke multiple-choice scoring for each risk.
- Risk Assignment: Assign risks to employees and allow line manager access.
- Multi-Level Categories: Organise risks into multi-level categories.
- Periodic Scoring: Ensure regular risk scoring and assessments.
- Risk Escalation: Implement procedures with regular notifications for incomplete risks.
- Comprehensive Reporting: Generate detailed risk-scoring reports and maintain archives.
Monitor Operational Risk
- Risk Tracking: Monitor risks from inadequate processes, people, systems, or external events, including legal risks.
- Real-Time Status: Check the current status of operational risks at any time.
- Value-Based Scoring: Report on operational risks using an adjustable scoring system, rating risks from very low to very high.
Monitor Conflicts of Interest
- Record and Rate: Log, rate, and comment on conflicts not covered by other modules.
- Conflicts Archive: Maintain a comprehensive archive for all conflicts.
Monitor Consumer Duty
- Task Assignment and Monitoring: Assign and track proactive and reactive consumer duty tasks across your business.
- Flexible Forms: Use customisable forms to capture all necessary information.
- Custom Workflows: Design approval workflows tailored to your organisation's needs.
- Email Notifications: Set custom triggers for email alerts to stay informed.
- Detailed Reporting: Generate comprehensive reports to track and analyse data.
High Accessibility
- Global Access: Connect from anywhere in the world via our web portal.
- Responsive Design: Experience optimal performance on any device with our mobile-first design.
- Browser Compatibility: Compatible with all modern web browsers for maximum flexibility.
Security and Hosting
- Penetration Testing: Regularly conducted to identify and fix vulnerabilities.
- Vulnerability Checks: Ongoing assessments to maintain security integrity.
- GDPR Compliance: Fully compliant with General Data Protection Regulation.
- ISO 27001 Hosting: Secure hosting aligned with ISO 27001 standards.
- Single Sign-On (SSO): Simplified access with SSO capability.
Implementation and Support
- Approval and Attestation: Simplify the approval process with built-in attestation features.
- Flexible Forms: Use customisable forms to capture all necessary information.
- Custom Workflows: Design approval workflows tailored to your organisation's needs.
- Email Notifications: Set custom triggers for email alerts to stay informed.
- Detailed Reporting: Generate comprehensive reports to track and analyse data.
Security
- Hosted by Us: Access via our web portal from anywhere globally. Enjoy scalable and secure cloud hosting.
- Hosted by You: Custom hosting solutions are available. Contact us for more information.
- Custom Workflows: Design approval workflows tailored to your organisation's needs.
- Email Notifications: Set custom triggers for email alerts to stay informed.
- Detailed Reporting: Generate comprehensive reports to track and analyse data.
Hosting
Bespoke Development Services
- Trade Data Integration: Connect effortlessly with your company's trade data.
- On-Site Support: Receive hands-on support throughout the entire setup process.
- Easy Registration: Simplified user registration or Active Directory (AD) sync.
Implementation
- Comprehensive Assistance: Get help with implementation and post-live questions and assistance.
Support
Delivering cost and time-efficient compliance
Personal Account Dealing
Custom Workflows: Tailor approval processes and set priorities.
Comprehensive Checks: Conduct pre-trade and post-trade checks.
Security Search: Access Bloomberg data and submit custom securities.
Automated Restrictions: Apply manual or automated restrictions.
Detailed Reporting: Generate custom reports and maintain archives.
Annual Reviews: Ensure compliance with annual attestations.
Full Auditing: Perform complete system audits and breach checks.
Custom Notifications: Set personalised email alerts.
System Integration: Integrate with trading systems for comprehensive data checks.
User Roles: Manage access with defined user roles.
Gifts and Hospitality
Approval and Attestation: Simplify the approval process with built-in attestation features.
Flexible Forms: Use customisable forms to capture all necessary information.
Custom Workflows: Design approval workflows tailored to your organisation's needs.
Email Notifications: Set custom triggers for email alerts to stay informed.
Detailed Reporting: Generate comprehensive reports to track and analyse data.
Incident Case Management
Comprehensive Case Creation: Create and manage cases, linking relevant portal data.
Incident Types: Address breaches, errors, and near misses.
Flexible Review Workflows: Customise workflows for reviewing and resubmitting cases.
Seamless Revisions: Easily send cases back for review and re-submission.
Detailed Reporting: Generate comprehensive reports for better oversight.
Outside Business and Political Activity
Flexible Declaration Forms: Easily capture and manage declarations.
Custom Notification Workflows: Tailor notification processes to your needs.
Annual Attestation/Review: Ensure ongoing compliance with yearly reviews.
Ad-Hoc Triggers: Set specific triggers for declaration requirements.
Comprehensive Reporting: Generate detailed reports for analysis and oversight.
Monitor, Score and Mitigate Corporate Risk
Risk Scorecard: Monitor risks with a regular scoring mechanism.
Custom Scoring Options: Utilise bespoke multiple-choice scoring for each risk.
Risk Assignment: Assign risks to employees and allow line manager access.
Multi-Level Categories: Organise risks into multi-level categories.
Periodic Scoring: Ensure regular risk scoring and assessments.
Risk Escalation: Implement procedures with regular notifications for incomplete risks.
Comprehensive Reporting: Generate detailed risk-scoring reports and maintain archives.
Monitor Operational Risk
Risk Tracking: Monitor risks from inadequate processes, people, systems, or external events, including legal risks.
Real-Time Status: Check the current status of operational risks at any time.
Value-Based Scoring: Report on operational risks using an adjustable scoring system, rating risks from very low to very high.
Action Tracker
Create and Manage Actions: Easily create, assign, and manage actions.
Flexible Forms: Assign tasks to multiple users for collaborative efforts.
Detailed Monitoring: Track progress and ensure completion of assigned actions.
Scoring and Mitigation: Score actions and implement mitigation strategies as needed.
Monitor Conflicts of Interest
Record and Rate: Log, rate, and comment on conflicts not covered by other modules.
Conflicts Archive: Maintain a comprehensive archive for all conflicts.
Monitor Consumer Duty
Task Assignment and Monitoring: Assign and track proactive and reactive consumer duty tasks across your business.
Flexible Forms: Use customisable forms to capture all necessary information.
Custom Workflows: Design approval workflows tailored to your organisation's needs.
Email Notifications: Set custom triggers for email alerts to stay informed.
Detailed Reporting: Generate comprehensive reports to track and analyse data.
High Accessibility
Global Access: Connect from anywhere in the world via our web portal.
Responsive Design: Experience optimal performance on any device with our mobile-first design.
Browser Compatibility: Compatible with all modern web browsers for maximum flexibility.
Implementation and Support
Security
Approval and Attestation: Simplify the approval process with built-in attestation features.
Flexible Forms: Use customisable forms to capture all necessary information.
Custom Workflows: Design approval workflows tailored to your organisation's needs.
Email Notifications: Set custom triggers for email alerts to stay informed.
Detailed Reporting: Generate comprehensive reports to track and analyse data.
Hosting
Hosted by Us: Access via our web portal from anywhere globally. Enjoy scalable and secure cloud hosting.
Hosted by You: Custom hosting solutions are available. Contact us for more information.
Custom Workflows: Design approval workflows tailored to your organisation's needs.
Email Notifications: Set custom triggers for email alerts to stay informed.
Detailed Reporting: Generate comprehensive reports to track and analyse data.
Security and Hosting
Penetration Testing: Regularly conducted to identify and fix vulnerabilities.
Vulnerability Checks: Ongoing assessments to maintain security integrity.
GDPR Compliance: Fully compliant with General Data Protection Regulation.
ISO 27001 Hosting: Secure hosting aligned with ISO 27001 standards.
Single Sign-On (SSO): Simplified access with SSO capability.
Bespoke Development Services
Implementation
Trade Data Integration: Connect effortlessly with your company's trade data.
On-Site Support: Receive hands-on support throughout the entire setup process.
Easy Registration: Simplified user registration or Active Directory (AD) sync.
Support
Comprehensive Assistance: Get help with implementation and post-live questions and assistance.