Helping to organise
A comprehensive checklist created from the Financial Conduct Authority’s Handbook and combined with best practice material to deliver over 400 Accountability compliance safeguards.
Solvassure’s unique cloud based
and mobile enabled technology distributes, collates and tracks
automated assurance information
direct from key stakeholders.
Senior Managers Regime
Senior managers are able to accept their responsibilities digitally, which in turn enables key documentation to be produced efficiently and historical records accessed quickly.
- Allocation of senior management functions.
- Assignment and tracking of prescribed responsibilities.
- Printing of statements of responsibilities.
- Compilation of management responsibilities maps.
- Designation of significant influence functions.
- Nomination of management groups & committees.
- Production of handover certificates and material.
- Monitoring of delegated activities and out of office deputy.
A calendar function automates repetitive certification activities, delivering templates and collecting evidence where required.
- Allocation of significant harm functions.
- Automated FIT checks for honesty, integrity, reputation.
- Automated FIT checks for competence, capability.
- Automated FIT checks for financial soundness.
- Capture of employer’s reference.
- Capture of regulatory reference.
- Production of annual FIT certificate.
A notifications function delivers targeted instructions to users, whilst a prioritised dashboard highlights exceptions to key stakeholders in real time.
- Senior manager and individual conduct rules.
- Capture of employee’s training history.
- Whistleblowing process to nominated stakeholders.
- Disciplinary reporting and appraisal tracking.
- Fully automated internal communications.
Duty of Responsibility
A unique regulations library enables assurance workflow and KPI’s to be introduced at a level and complexity appropriate to the business.
- Low level regulations extracted from Handbook.
- Department operations and direct report KPI’s.
- Board and committee governance checks.
- Executive on-boarding and departure process.
- Assignment and tracking of NED responsibilities.
- Implementation best practice using PRINCE2.
Solvassure. Compliance Technology.