Compliance & Risk Management

All parts of the data in the system can be used to assist with the Compliance and Risk Management of a firms business. The statutory database has a large number of tables and fields specifically related to this area.

We have a dedicated notes and queries module that allows a compliance reviewer to raise a point, and an administrator to respond to those points.

The WebInfo and Client Insight Modules are particularly useful for performing client reviews.

The Report Generator Module is used to generate the specific report required for both the business and the regulator in your jurisdiction.