The Regulatory Compliance Matrix Solution has as main functionality to have a detailed analysis of each of the standards to be met by the institution as part of the regulations imposed by regulators, other institutions and the institution itself, monitoring may know at all times compliance status of each.
The scheme of work designed consists of four steps:
1. Standard: Each of the standards that the institution must complete.
2. Requirement: Each of the items that can be subdivided in a Standard.
3. Manager: a person responsible to comply (or enforce) a Request.
4. Task: Identify each of the times that a requirement must be fulfilled for Responsible. Ie, if a requirement should meet monthly, the charge will have assigned 12 tasks, each assigned to a month of the year.
• Record of information of legal Standards to be accomplished
• Details of each of the Articles of the Standard (Requirements).
• Definition of each responsible fulfillment of a requirement, being able to identify the Operating responsible and Real responsible.
• Specification of each of the tasks expected of a responsible under a requirement. Each of which has:
– Planned Date of implementation
– Real Execution Date
– Percentage of Compliance
– Description of Compliance
– Ability to Submit information and files
• Reports Module, including:
– Failure by Level of Sanction
– Level of Compliance General
– Level of Compliance for Standards
– Level of Compliance by the Institution Areas
• Integral Organizational Management Institution.
• Electronic Shipping Notifications of Task reminder Expiring and Expired, scaling them to the Immediate Superior Responsible.
• Allows full parameterization of:
– Time limits for executing tasks (time windows before and after Planned Date)
– Moment of Electronic Shipping Notifications
– Contents of Electronic Notifications
• Logs and audit trails of all changes and modifications made to the records, identify: date and time, responsible action that he made the change, changed field, old value and new value.
• Ability for users to create their own custom queries.
• Electronic mail notifications with each change of state or action taken on any record.
• Defined by Security Groups and Permissions, in order to allow the execution of actions and modifications to records to authorized persons.