Comply with UK, US EU and other laws, regulations and guidance in one linked repository
Compliance
Streamlined Compliance
strategy and monitoring
Face the regulator and investors with confidence. As the regulatory burden grows and the penalties for non- compliance grow more severe, monitoring your organisation’s compliance becomes increasingly business critical. With Decision Focus, realtime updates on identified potential issues help you stay in the clear – and stay calm.
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Compliance
Streamlined Compliance Strategy And Monitoring
Face the regulator and investors with confidence. As the regulatory burden grows and the penalties for non- compliance grow more severe, monitoring your organisation’s compliance becomes increasingly business critical. With Decision Focus, realtime updates on identified potential issues help you stay in the clear – and stay calm.
Our Clients
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Breaches, Complaints and Conflicts of Interest
Log, document and categorise all of compliance breaches, complaints and conflicts of interest with ability to conduct detailed root cause analysis
Breaches, Complaints and Conflicts of Interest
Log, document and categorise all of compliance breaches, complaints and conflicts of interest with ability to conduct detailed root cause analysis
Manage lifecycle from Initial logging, review and actions; all items can be tracked and monitored, with targets and alerts set up according to your needs
Capture referrals to the Financial Ombudsman
One-click dashboards and reports to bolster your governance reporting framework
Link any and all breaches, complaints and conflicts of interest to relevant Risks, Controls, Policies and Business Standards.
Distinguish between procedural and regulatory breaches
Interactive complaints log in one place, with materiality assessment to determine how many clients impacted
Capture strategic conflicts of interest versus operational
conflict of interest
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Breaches, Complaints and Conflicts of Interest
Log, document and categorise all of compliance breaches, complaints and conflicts of interest with ability to conduct detailed root cause analysis
Distinguish between procedural and regulatory breaches
Interactive complaints log in one place, with materiality assessment to determine how many clients impacted
Capture strategic conflicts of interest versus operational
conflict of interest
Breaches, Complaints and Conflicts of Interest
Log, document and categorise all of compliance breaches, complaints and conflicts of interest with ability to conduct detailed root cause analysis
Distinguish between procedural and regulatory breaches
Interactive complaints log in one place, with materiality assessment to determine how many clients impacted
Capture strategic conflicts of interest versus operational
conflict of interest
Manage lifecycle from Initial logging, review and actions; all items can be tracked and monitored, with targets and alerts set up according to your needs
Capture referrals to the Financial Ombudsman
One-click dashboards and reports to bolster your governance reporting framework
Link any and all breaches, complaints and conflicts of interest to relevant Risks, Controls, Policies and Business Standards.
Integrated
Compliance Monitoring
In parallel with the business, compliance monitoring teams can work from the same central control repository in Decision Focus to undertake independent controls’ testing.
Integrated
Compliance Monitoring
In parallel with the business, compliance monitoring teams can work from the same central control repository in Decision Focus to undertake independent controls’ testing.
Direct all your Compliance activity in one connected platform
Manage compliance audits, policy requirements, complaints and regulatory interactions with complete assurance..
Live risk data lets you manage your risk profile continuously
You are informed of any movement in risk-relevant MI through live dashboards and notifications, enabling prompt action to keep your risk profile within the bounds you set.
Conduct Risk Management
Conduct Risk Management
Supplement your Risk framework with a specific view of all Conduct related risks and for each Risk sub-category which relates to Conduct Risk
Powerful dashboards showing real-time Conduct Risk Appetite Status, Conduct Risk exposure, and Conduct KRIs with drill through to underlying customer MI
Execute question-based audits to assess Conduct Risk QA and control-based audits to carry out Conduct Risk monitoring– no more spreadsheets, e-mails and documents to wade through
Comparison of Compliance Monitoring's independent assessment of conduct risks and related controls with the first lines
Conduct risk specific views of action status
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Configurability.
Not complexity.
Every organisation needs to achieve and maintain compliance with regulations, legal obligations, internal standards, and more. Decision Focus is designed to be configurable to the needs and maturity level of your business – and to evolve with you over time.
Configurability.
Not complexity.
Every organisation needs to achieve and maintain compliance with regulations, legal obligations, internal standards, and more. Decision Focus is designed to be configurable to the needs and maturity level of your business – and to evolve with you over time.
Made to measure
Management has immediate access to monitoring findings and recommendations, enabling prompt action, and continued compliance.
Radical user friendliness
Decision Focus shines a light on compliance. Do you have the right controls? Are they working effectively? Where is remediation needed?
Decluttering
Decision Focus is set up to present users with the options and information they need – and nothing more.
Conduct Risk Management
Conduct Risk Management
Supplement your Risk framework with a specific view of all Conduct related risks
Powerful dashboards showing real-time Conduct Risk Appetite Status, Conduct Risk exposure, and Conduct KRIs
Execute audits to assess Conduct Risk QA and Conduct Risk monitoring
Comparison of Compliance Monitoring's independent assessment of conduct risks and related controls with the first lines
Gifts & Hospitality
Gifts & Hospitality
Capture, describe and categorise Gifts & Hospitality given and received
Define value thresholds to flag Gifts & Hospitality events which exceed acceptable limits, and customise approval workflows
Archive, compare and report on quarterly and yearly data using our flexible dashboard and reporting suite
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Policy Management
Policy Management
Create a Policy document and allow multiple authors to contribute collaboratively, for initial creation and annual review thereafter, with full audit trail
Build a customised workflow for policy review and approval
Publish policies, manage attestations and allocate responsibilities to defined groups, with seamless linkages to related controls
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Product Governance
Product Governance
Our customised workflow feature will make sure the right approval processes are in place for new products and changes to existing products
Obtain pricing and remuneration attestations and tailored questionnaires from all parties in the distribution chain
Store product inventories to assist with first line product risk assessments, and second and third line quality assurance and control testing
In the event of a breach, use Decision Focus for targeted identification, investigation, escalation, tracked remediation and reporting.
Produce product assessment and performance dashboards for product oversight groups and governance committees at the touch of a button
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Lloyd’s Project RIO
- Maintain a register of all Principles, Sub-Principles, and the individual Requirements within them
- Allocate responsibility for compliance with an entire Standard to an individual, or a specific Requirement within a Standard to an individual
- Link each Requirement to the Controls designed and operated to ensure it is satisfied
- Use Control assurance data to assess if the Requirement is satisfied
- Automatically generate the required Lloyd's compliance submission for each standard, in the format prescribed by Lloyd's
- Provide an overview of Requirements status to support the Board's annual attestation
- Automatically generate the Annual Board Attestation Submission to Lloyd's, in the format prescribed by Lloyd's
Regulatory Interactions & Change Management
Log, document and categorise all of compliance breaches, complaints and conflicts of interest with ability to conduct detailed root cause analysis
Regulatory Interactions & Change Management
Log, document and categorise all of compliance breaches, complaints and conflicts of interest with ability to conduct detailed root cause analysis
Carry out horizon scanning and store all communications with your regulators within Decision Focus
Create, import and link Source Documents, Statements and Consolidated Statements from a dataset supplied by a third-party content provider
Link Statements or Consolidated Statements to the relevant Mandates with Policies
Monitor changes between the Statements with full audit trail of history
Provide an impact assessment for each change on Policies, Mandates, Business Standards, Procedural Requirements and Controls in a structured and logical way
Create, allocate and track actions to see all regulatory change projects through to the end, with at-a-glance progress tracking and push-button reporting
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Senior Manager Certification
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- Store your entity, committee and function structure in Decision Focus, to map management responsibilities, generate statements and complete regulatory application checklists
- Allocate responsibilities, with the ability to track, delegate and handover, with full audit trail and notification capability
- Carry out certifications using customised digital questionnaires and automating annual renewals
- Function holder dashboards and quick and easy reports ensure that each responsible person can access real-time information on the status of their policies, risks and controls so you can rest assured that the regulator can see how you are keeping on top of the regime
- Seamless collaboration between Compliance and HR with senior business leaders through notifications, workflows, alerts and reminders