Compliance Management

Compliance Management

Compliance Management is the functionality designed to be primarily used by the CCO and Firm Management.

It contains the following:

    • Tasks displays all tasks for the firm.

    • Task Instances displays the occurrences of the task as they are created; linking to the assignment/s for each occurrence.

    • Assignments displays all user assignments for the firm.

    • Employee Requests displays all user online declarations.

    • Cases displays all cases for the firm.

    • Questionnaires displays all questionnaires for the firm that can be added as part of an assignment(s) for users.

    • Dashboard is a graphical view with a default display of six charts; each with drill downs to the data behind the chart.

    • Gifts Given displays the gifts and entertainment given by employees of the firm.

    • Gifts Received displays the gifts and entertainment given to employees of the firm.

    • Task Wizard is where tasks can be easily created based on predefined criteria for the firm.