Core Compliance is the C.O.R.E platform interface that is designed for use by a firm’s compliance team, external consultants and those with oversight responsibility. It provides an out-of-the-box solution that can be quickly and easily configured to implement compliance processes and information flows.

From the Activity Dashboard, all activities that are imminent or overdue can be seen, providing immediate visibility as to your Firm's Compliance health status.

Core Compliance: Features & Benefits

Central version management and auditing of policies and procedures.

Key Benefits
  • All compliance policies and procedures can be centrally held.
  • Changes to documents are fully version controlled.
  • Documents can be held at a regional level, providing control of global policies and local regional versions.
  • Up to two levels of classification can be applied to each document.
  • Documents can be targeted to individuals or groups. Staff are only able to see the documents that apply to them.

Centrally record the universe of testing that your Firm undertakes either by region, entity or business area.

Key Benefits
  • Multiple programmes can be created representing the approach taken at a region, entity or business area level.
  • 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 next test.
  • Documents evidencing the testing undertaken can be attached to each test providing a complete audit trail.
  • Test outcomes and recommendations can be recorded and the final outcome can be Red, Amber, or Green rated.
  • The dashboard provides your central Compliance department with visual alerts of 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.

Key Benefits
  • Create a schedule of all filing obligations by entity, region and business area.
  • Assign each filing to the appropriate business owner (compliance team, wider business or external party).
  • 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.
  • All changes are version controlled and tracked providing robust audit trails.

This service enables the firm to track and manage all Senior Managers, Internally Certified persons and Regulator Approved persons.

Key Benefits
  • All of your Firm's key staff can be recorded centrally.
  • Changes to the status of an approved person can be modified and tracked.
  • Roles and responsibilities can be assigned to staff.
  • Staff roles and responsibilities are displayed in their unique compliance portal.
  • Attestations can be issued against roles and responsibilities.

Manage the creation and approval process of documents.

Key Benefits
  • Clearly and efficiently manage the document approval process.
  • Clear audit trail of the steps taken to create and publish a document.
  • Documents can be filtered depending on their status towards completion.
  • Business Area View can be used to filter documents.

Manage any type of regulator or internal/ external audit visit. Track and address any findings or outcomes from a visit.

Key Benefits
  • 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 audits.
  • Assign tasks to different users of the platform and record their progress.

Manage and control the disclosure and approval process surrounding gifts and entertainment to remain compliant with ABC regulation.

Key Benefits
  • Provides a workflow for employees to submit requests.
  • Clear audit trail of the steps taken in approving or declining G&E requests.
  • Ability to monitor G&E requests by employee.

Manage and control the disclosure and approval process surrounding personal account dealing.

Key Benefits
  • Provides a workflow for employees to submit requests.
  • Allows Compliance to track and control approvals.
  • Clear audit trail of the steps taken in approving or declining PAD requests.
  • Ability to monitor PAD requests by employee.

Manage and control the disclosure and approval process surrounding conflicts of interest.

Key Benefits
  • Provides a workflow for employees to update personal conflicts 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.
  • Ability to monitor conflicts by employee.

A single controlled environment to record all of your Firm’s issues, complaints, errors and breaches.

Key Benefits
  • 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.
  • The dashboard provides visual alerts of overdue incidents and/or tasks.
  • All changes are version controlled and tracked providing robust audit trails.
  • Provides distributed/regional Compliance teams with centralised oversight.
  • Business area or regional managers can be granted controlled access.