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Financial Markets’ Solutions

How do you face the challenge of ensuring you are compliant with the range of regulatory and business demands that are constantly threatening your organisation? Can you monitor all potential risks and threats? Do you have a view of the financial consequences of these? Are there controls in place to assess and mitigate them? Do you have a total integrated view of all risks, controls, breaches, incidents & actions? Have you an appropriate and integrated assessment framework to check and record all eventualities?

1 : Integrated Risk, Governance & Compliance Management

Centralise all your risk, governance & compliance components within a single integrated environment to provide an auditable, ‘evidencing’ solution for your management, your regulators and your clients. Our solution enables you to define, record and link all components within your risk environment to provide a single framework of all key risk measures. This includes risks & threats, mitigating controls, recovery measures, breaches & incidents, actions, key performance indicators, as well as integrated repositories for related documents and assets. All linked together to provide enhanced insight into the total risk process.

In addition, whole risk ‘frameworks’ can be implemented using all the various registers to address and monitor specific regulatory and legal demands, such as CASS, SYSC, SMCR, GDPR, etc.

Read about the GRCS product and/or download one of our case studies:

Registers   :  “Wealth Manager decided to reduce its reliance on spreadsheets”

ICAAP   :  “FX, CFC & Commodity trader wished to improve its Supervisory Review under ‘Pillar II'”

CASS   :  “On-line trading provider sought to ‘evidence’ good compliance because of holding client monies”

 

2 : On-line Assessment Reviews

Define and create assessments to enable regular on-line reviews of key risk areas. Our solution enables you to implement pre-generated  ‘templates’ or generate new assessment questionnaires and checklists to support any required internal reviews. Customise with your own fields and scoring approach and link to risks, threats & controls to provide a total integrated risk-assessment environment. Some of the ‘templates’ already available support areas such as:

  • business continuity plan reviews
  • cyber security checklists
  • GDPR & DPIA screening checks
  • due diligence, controls & compliance checks
  • internal controls & policy checks
  • SMCR checks
  • personal account dealing attestations
  • new client business checks
  • money laundering checks.

Read about the GRCS product and/or download our case study:

Assessments   :  “Global insurer required a robust, auditable framework for both its ‘New Business’ and ‘Claims’ checks”