Core Compliapps
Tasks Monitor
Create ad-hoc reminders to colleagues to complete compliance tasks. Monitor personal, company and all staff tasks
Documents
A central location for all your company compliance documentation. All documents can be set to be acknowledged by staff
Monitor
Organize and centralize your firm’s Compliance Monitoring Plan. Remove the need for paper-based tasks, reduce reliance on spreadsheets
Active Logs
Centralize your company’s logs in one place. Custom workflows for approval items
Affirmations
Periodic staff affirmations can be automated and reminders sent at key dates
Logs & Approvals
Approval workflows can be configured for things like; Gifts, PA Dealing, Complaints, and Breach Handling
Reporting
Report on any piece of data in the system. Export reports into Excel, Word, PDF for MI
Calendar
Task calendar, tracks personal, company and team tasks
Optional Add-ons
Risk Dashboard
3D view of Rules, Risks, Controls and Evidence of actions. Reminders to staff for task completion.
Rule Book
Upload any rule book and attach risks and controls. FCA digital handbook now available
CRM
Store all client compliance data. Schedule automatic periodic reviews. Store key KYC data like ownership etc.
Trainer
Develop your own training courses with exams and certifications in our Learning Management System.
Open Logs
