Choose from a wide range of modules to suit your GRC needs
Tasks Manager
- Create single or scheduled tasks for individuals or teams to complete.
- Embed documents or other information into the task.
- Monitor completion of personal, team, or all company tasks.
- Receive automated email alerts about due, overdue and completed tasks.
Monitoring
- Organise and centralise your firm’s Compliance Monitoring Plan.
- Remove the need for paper-based tasks and replace Excel, Word and emails.
- Demonstrate to your regulators or auditors clear and up-to-date compliance records.
Registers
- Centralise your company’s registers in one place.
- Configure restricted access where required.
- Search, filter and export Excel, Word and PDF reports.
- Import and export all data to and from Excel.
Trainer
- Develop your own training courses with exams and certification in our Learning Management System.
- Configure own certificates including CPD hours.
- Track tasks completion and receive email alerts on completion.
Affirmations
- Set up periodic affirmations so your staff can personally confirm compliance with firm’s rules and policies.
- Set up email reminders to ensure timely completion.
- All affirmations are logged and available for reports / audit.
Approvals
- Configure your own PA Dealing, Breaches, GDPR, Gifts, Entertainment, Financial Promotions, or any other approval type.
- Set up multiple steps and sign-offs.
- Receive automated emails for any or all workflow stages.
Open Registers
- Track any tabular data in a fully auditable framework with access controls.
- Embed files and attach notes and tasks to each entry.
- Receive alerts for each add, change or delete action.
- Record and timestamp every change.
- Import and export all data to and from Excel.
Campaigns & Public Forms
- Collect data directly from your clients or through anonymous forms using a secure link.
- Collected answers can be configured to start an approval workflow with multiple steps.
- Use for client on-boarding, KYC and ongoing suitability assessments.
- Collect anonymous data from Public Forms for whistleblowing or GDPR.
CRM
- Store all client-related compliance data.
- Set up scheduled suitability reviews, KYC reviews and periodic clients tasks.
- Keep notes, list of contacts and key files on each client
- Monitor key clients against major sanction lists
Personal Account Dealing
- Upload any security master file for instrument lookups.
- Configure rules-based automatic pre-approval or rejection of PA trades.
- Track restricted trading list.
Documents
- Place all compliance and policy documents in a central repository with version control.
- Set up restricted access where required.
- Create document attestation tasks for staff.
- Set up scheduled document reviews.
Governance
- Set up and track membership of firm’s committees.
- Schedule committee meetings, upload agenda packs for pre-meeting review.
- Record each meeting attendance and minutes.
- Set up approval tasks for meeting minutes.
Rule Book
- Upload any rule book and link rules to firm’s risks.
- Set up emails to alert of any upcoming changes.
- Full FCA Handbook and SECC rules available.
Risk Management
- Create an interlinked matrix of rules, risks and controls.
- Record own firm’s specific data set against each risk and control.
- Link controls to scheduled tasks to evidence control actions.
- Set up reminders to staff for task completion.
For bespoke software, email us your requirements to
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