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Customised apps to meet your needs...
A feature rich set of modules to cover all the bases.
CASS Matrix
Map in the latest FCA CASS rules. Mark as applicable and store other data points.
Overview of incomplete tasks, linked items and breaches
Risk Framework
Map in CASS risks and create control measures.
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Link mitigation measures to these controls.
Measure include things like tasks, monitoring schedules , registers , attestations, reviews, affirmations etc
Global Task Monitor
Single point of information, see all personal , company and staff tasks in one calendar.
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Click on item to open up task.
Monitoring
Setup scheduled monitoring tasks , compliance tests and data collection points on a periodic basis.
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Monitoring questionnaires easy to setup and configure.
Breach Registers
Breaches , PA dealing, gifts , financial promotions etc
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Registers can involve sign off workflows with numerous people i.e. Part 1 all staff , Part 2 compliance.
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Tag breaches against effected rules.
Affirmations
Setup affirmations for groups of people on the system to affirm a set statement or set of actions :
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i.e. I affirm the CASS policy was signed off.
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These can be scheduled periodically.
Documents & Attestaions
A central repository for all your compliance documentation
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Documents can be setup for management approval
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Documents can be attested to by staff members.
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Versions can be tracked
Reporting
Almost any piece of information that is collected within the system can be reported upon, with flexible configuration options.
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Reports can be saved as favourites, and called up later.
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Export into excel, PDF.
Make the auditors life easy.
Trainer
This is a full learning management system.
Upload and create your own training courses.
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Schedule the courses to staff members and monitor their progress.
