Compliance

Meet your regulatory and compliance requirements

Conduct Risk

Improve standards of behaviour by understanding and addressing the drivers of conduct risk in firms. Monitor and manage risk metrics across all areas of conduct including market abuse, financial crime and the individual accountability regime.

Compliance Risk Cockpit

The Compliance Cockpit brings out-of-the-box compliance risk metrics covering market abuse, financial crime, individual accountability regime to other compliance obligations providing a 360 degree view of compliance risks. Address your overall compliance risk through real-time, meaningful management information, sourced from the entire compliance application suite.

Key features

  • Conduct risk management information
  • Consolidation of risk metrics
  • Compliance risk registers
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Market Abuse

Keep up with the increasing scope and complexity of market abuse regulatory requirements. Build a comprehensive picture of all events with automated, real-time surveillance systems which streamline both transnational and communication data.

Market Surveillance

Market Surveillance provides insightful analytics and contextual surveillance to help Capital Markets firms identify and manage the potential risks of market abuse, fraud and operational breaches.

Key features

  • Comprehensive alert library
  • Alert selection and configuration
  • Case management and workflow
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Market Abuse Training

Market Abuse Training helps firms address their mandatory training requirements by ensuring individuals understand the fundamentals of regulations. Team members can learn at their own pace through on-demand videos and handbooks constructed by subject matter experts and validated by industry practitioners.

Key features

  • Assessment based training
  • Record keeping
  • Market Manipulation and Insider Trading regulations | MAR, EMIR, REMIT
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Individual Accountability Regime

Reduce harm to consumers and strengthen market integrity by making individuals more accountable for their conduct and competence. Establish healthy cultures and effective governance in firms by managing senior management, performing due diligence and training all team members.

SMCR

Manage accountability throughout the firm, and comply with SMCR and conduct rules, through governance tools and frameworks that evolve as regulation and the business change. Streamline the management of fitness and propriety of senior managers and certified personnel with a transparent view of organisational structures, record keeping and management of statement of responsibilities.

Key features

  • Configuration of SMCR structures, Statement of Responsibility, Responsibility Maps
  • Conduct Rules
  • Senior manager and certified personnel management
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Enhanced Due Diligence

Enhanced Due Diligence enables firms to better understand online reputational risks and evidence compliance, supporting the mandatory due diligence requirements of a person’s honesty and integrity as part of the fit and proper assessment.

Key features

  • Detailed background checks
  • Ongoing monitoring
  • GDPR controls through privacy by design
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SMCR Training

SMCR Training helps firms address their mandatory training requirements by ensuring individuals understand the fundamentals of the regulation. Team members can learn at their own pace through on-demand videos and handbooks constructed by subject matter experts and validated by industry practitioners.

Key features

  • Assessment based training
  • Record keeping
  • Overview of SMCR
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Financial Crime

Demonstrate that their compliance programmes are effective for reducing the risks of financial crime and sanctions. Treating all clients identically by using stringent on-boarding technology covering know your customer (KYC) and anti-money laundering (AML).

Client Onboarding

Client Onboarding provides Capital Market firms with the tools to make client onboarding as seamless as possible whilst allowing them to fulfil their regulatory obligations. Simplify the process and lower risk and cost by turning complex fragmented onboarding processes into simple digital forms.

Key features

  • Client account portal to facilitate the capture of required data
  • Validation and screening of captured data
  • Dashboards and workflow management
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Financial Crime Training

Financial Crime Training helps firms address their mandatory training requirements by ensuring individuals understand the fundamentals of the topic. Team members can learn at their own pace through on-demand videos and handbooks constructed by subject matter experts and validated by industry practitioners.

Key features

  • Assessment based training
  • Record keeping
  • Overview of Financial Crime
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Compliance Obligations

Meet the continually growing amount of compliance obligations including transaction reporting to trade repositories or to regulators. Make sure you meet your deadlines and your team is trained in the latest regulations.

Regulatory Reporting

Comply with regulatory reporting obligations across multiple jurisdictions through a unified solution covering EMIR, REMIT, FinfraG, MifIR, MiFIDII and SFTR.

Key features

  • Comply
  • Intuitive dashboards
  • Audit controls
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GDPR Training

GDPR Training helps firms address their mandatory training requirements by ensuring individuals understand the fundamentals of the regulation. Team members can learn at their own pace through on-demand videos and handbooks constructed by subject matter experts and validated by industry practitioners.

Key features

  • Assessment based training
  • Record keeping
  • Overview of GDPR
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Find out more

Ready to find out more about how our Compliance Risk solutions can help you start your journey to leveraging Risk as Alpha? Get in touch with us by filling out the form below

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