1. Financial Services Regulatory
o Centralised dashboard for regulatory oversight
o Customisable registers for conflicts, breaches, gifts, and PA dealing
o Real-time alerts and audit trails for regulatory events
o Integrated policies and procedures repository
2. Compliance Monitoring Programme Management
o Risk-based compliance monitoring plans
o Task scheduling, ownership assignment, and status tracking
o Evidence upload and completion logging
o Reporting tools for senior management and board updates
3. Know Your Employee (KYE)
o Employee onboarding and verification workflows
o Certification regime tracking (SMCR)
o Fitness and propriety assessments and documentation
o Ongoing due diligence and annual attestation processes
4. Know Your Client (KYC) & Anti-Money Laundering (AML)
o Client onboarding with automated identity and verification checks
o Sanctions screening, PEP checks and adverse media monitoring
o Risk rating and due diligence tracking
o Ongoing monitoring and client file reviews
5. Document Management & Virtual Data Room
o Secure storage of policies, records and regulatory documentation
o Permission-based access controls
o Version control and document audit trails
o Dedicated virtual data rooms for deals, audits or regulatory inspections
6. Employee Training & Attestations
o Customisable training modules (e.g., AML, market abuse, conduct risk)
o Automated training assignment and completion tracking
o Certificate generation and training records archive
o Annual policy attestation workflows and evidence capture
7. Security & Configurability
o Enterprise-grade security protocols and data encryption
o Role-based access and custom user permissions
o Modular design to reflect firm-specific policies, processes and terminology
o UK/EU data hosting options with compliance with GDPR and relevant FS
regulations
