CCL CORE is a web-based compliance solution that can be quickly and easily configured to implement compliance processes and information flows. Proven to simplify compliance controls and lighten the load of compliance administration, CCL CORE has demonstrable results in reducing the cost of compliance for our clients, while strengthening control and assurance.
CCL CORE has two user interfaces – one for Compliance and Senior management, allowing them to control and manage compliance activity; and one for all employees, embedding the compliance framework across the organisation. CCL CORE comes equipped with a RAG-coloured activity dashboard. The Compliance function and senior management can immediately see from the activity dashboard all activities that are imminent or overdue, providing effortless visibility of your Firm's Compliance health status.
CCL CORE is not bound to any regulatory regime, allowing firms in any jurisdiction to benefit from its simple efficiency and control, providing you with a complete RegTech solution. Thanks to CCL’s continued investment and innovation in our software, you can be assured that you will always benefit from the most effective solution to your compliance requirements no matter what your industry or jurisdiction.
Central version management, control and distribution of policies and procedures.
- All company policies and procedures can be centrally controlled and managed.
- Changes to documents are fully version controlled, with the ability to reinstate previous versions at a click of a button.
- The library prompts policy owners to review and update documents at a designated frequency.
- Documents can be classified to reflect applicable department, region or purpose.
- Documents can be targeted to individuals or groups. Employees are only able to see the latest version of the documents that apply to them.
Centrally record the universe of testing that your Firm undertakes either by region, entity or business area.
- Multiple monitoring programmes can be created to reflect regions, entities or business areas.
- Multiple tests can be created, assigned a frequency and allocated to the appropriate owner.
- As each instance of a test is closed, the system automatically schedules the test for its next occurrence.
- Evidencing of testing undertaken can be attached to each test providing a complete audit trail.
- Test outcomes and recommendations can be recorded with a RAG status for importance of outcome.
- The dashboard provides your central Compliance department with visual alerts of pending or overdue tests.
- Provides your distributed/regional Compliance teams with centralised oversight.
- All changes are version controlled and tracked providing robust audit trails.
An automated diary of filing and reporting obligations to regulators, external parties or even internally such as AML board reports.
- Create a schedule of all filing obligations by entity, region and business area.
- Assign each filing to the appropriate business owner.
- For each filing define the frequency and the dates the filing process should be started and completed by.
- Documents evidencing a filing can be attached providing a complete audit trail.
- As each instance of a filing is closed, the system automatically schedules the next filing.
- The dashboard provides the compliance department with visual alerts of overdue filings.
This service enables the firm to track and manage all Senior Managers, Internally Certified persons and Regulator Approved persons.
- All of your Firm's authorised and internally certified employees can be recorded centrally.
- Changes to the status of an approved person can be modified and tracked.
- Roles, responsibilities and reporting lines can be assigned to registered employees.
- Roles and responsibilities are clearly displayed in each employee's compliance portal.
- Attestations can be issued for employees to accept designated roles and responsibilities.
- Reminder of annual certification for internally certified employees.
Manage the creation and approval process of documents.
- Manage all financial promotions in a central repository and workflow approval process.
- Clear audit trail of the steps taken to create, approve and publish financial promotions and other documents.
- Documents can be filtered by year or by title.
A single controlled environment to record all of your Firm’s complaints, breaches and other incidents.
- All types of incident can be centrally held and accessed.
- Incidents can be segregated by Region and Entity.
- Tasks can be created under any incident and assigned to the appropriate business owner.
- Documents can be attached to the incident or any of its related tasks to evidence resolution.
- The dashboard provides visual alerts of pending or overdue incidents and/or tasks.
- All changes are version controlled and tracked providing robust audit trails.
- Business area or regional managers can be granted control access.
Manage and control the disclosure and approval process surrounding gifts and entertainment to remain compliant with ABC regulation.
- Provides a workflow for employees to submit G&E requests.
- Clear audit trail of the steps taken in approving or declining G&E requests.
- Facility to monitor G&E requests by employee.
- Built-in intelligence for automatic approval.
- Acts as a dynamic register of all G&E requests.
Manage and control the disclosure and approval process surrounding personal account dealing.
- Provides a workflow for employees to submit PAD requests.
- Allows Compliance to track and control approvals.
- Clear audit trail of the steps taken in approving or declining PAD requests.
- Facility to monitor PAD requests by employee.
- Acts as a dynamic register of all PAD requests.
Manage and control the disclosure and approval process surrounding conflicts of interest.
- Provides a workflow for employees to update personal and corporate conflicts.
- Allows Compliance to track and control conflicts disclosures.
- Clear audit trail of the steps taken in approving, declining or escalating conflicts of interest.
- Facility to monitor conflicts by employee.
- Acts as a dynamic register of all conflicts of interest requests.
Manage and prepare for any type of regulator or internal / external audit visit by allocating responsibilities and deliverables.
- Clearly and efficiently manage the visit preparation and remediation action.
- Keep a central record of all visits to your Firm.
- Organise a variety of visit types from regulator visits to internal and external audits.
- Assign tasks to different users of the platform and record their progress to specified deadlines.
Keep track of all communication with regulators in any jurisdiction.
- Central repository for all communication with regulators.
- Automatically draws from the platform’s incidents function to populate reportable incidents.
- Automatically draws from the regulatory visits function to help keep a record of all regulatory visits.
- Data can be filtered by regulator and jurisdiction.
Reduces time and effort in periodic reporting by drawing on relevant information held on the platform.
- Establish template periodic reports that can be produced at the touch of a button.
- Create your own ad-hoc reports on any information held on the platform. For example, a G&E report on a single employee.
- We can help you develop a suite of reports to suit your business needs.
Provides employees with an easy-to-access view of all events and activities that have been assigned to them.
- Assign investigation of an incident or remediation of a monitoring action to any employee.
- Request for employees to attest they have read a policy or that their roles and responsibilities are correct
- Strengthens compliance culture by making employees accountable.
Our compliance platform is the ideal solution for firms who:
- have their own compliance documentation and monitoring programmes;
- aim to strengthen compliance controls across the organisation;
- wish to reduce the cost of compliance;
- strive to improve efficiency, enhance embeddedness and augment the culture of compliance;
- plan to rebalance Compliance output from administration to value-addition; or
- need to consolidate legacy compliance systems to simplify and reduce cost.