Managing Risk with Assured Compliance

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Presenting the Assured Compliance solution. Enabling effective risk management in real-time, ensuring Compliance with the FCA Treating Customers Fairly (TCF) rules and ensuring evidence of compliance

Published in: Economy & Finance, Business
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  • The reporting manager has a “reminder” email which clicks through to the areas of the system they need to interact with. This makes the process simple and uncomplicated.
  • Spreadsheets are great but version management becomes a bit of a nightmare quite quickly. Multiple inputs, multiple versions, different structures…..etc
  • Rapid, focused build to value
  • Managing Risk with Assured Compliance

    1. 1. Compliance. Performance. Insight. Assured Compliance: Effective Risk Management
    2. 2. Copyright 2011-2013 IPROS Cube Confidential & Proprietary material A Demanding Regulatory Environment • Regulatory environment is placing more demands on operators. • Massive increase in oversight over the past 3 years. • Aggressive new regulator in the FCA. • Margins have come under pressure with lower fees and higher costs. • Compensation can be multiple times fines. • Share prices under pressure from regulatory risk perception.
    3. 3. Copyright 2011-2013 IPROS Cube Confidential & Proprietary material What is Assured Compliance? Compliance is a necessity, but why can’t it be easy? Imagine if… ….you could get a view of risks and performance trends across your business at any time ….your managers could make the best use of their time – all the time Can you be sure you’re consistently treating customers fairly? Could you check that now? Right now?
    4. 4. Copyright 2011-2013 IPROS Cube Confidential & Proprietary material What is Assured Compliance? Simple to use software platform for operational activity, compliance and risk reporting across the organisation:  Improving information flow & accountability  Tracking actions & delivery  Reducing admin overhead costs  Immediate view of performance & quality  Managing and Reducing risks
    5. 5. Copyright 2011-2013 IPROS Cube Confidential & Proprietary material Assured Compliance Compliance Schedule Reminder email Service Managers & Customers Service Locations Single reporting structure
    6. 6. Copyright 2011-2013 IPROS Cube Confidential & Proprietary material What do many people do now?
    7. 7. Copyright 2011-2013 IPROS Cube Confidential & Proprietary material Key Benefits • Highlight and manage areas of risk • Transparency of all activity within each line of business • Track actions right across the organisation • Saving time and money, improving revenue • Better than 5 times payback in year one • Customise to fit your processes in a few days • Rapid Deployment, Immediate Benefits • Industrial Strength, low cost, scalable value
    8. 8. Copyright 2011-2013 IPROS Cube Confidential & Proprietary material 2 hours • Summary of objectives • Content scope 1-2 days • Build level 1 content • Key project plan • Rollout schedule • Training plan 1 to 2 weeks • Build & test content • Train key users • Complete initial content • Tailored to fit 1 to 2 weeks • ‘soft’ launch • Pilot phase • Validate •Tweak process & content 4 to 6 weeks from start • Pilot service fully operational • Rollout phase Initiation Solution Definition Iterative Build Live Test Value Review Deployment Approach
    9. 9. Copyright 2011-2013 IPROS Cube Confidential & Proprietary material Risk Management
    10. 10. Copyright 2011-2013 IPROS Cube Confidential & Proprietary material Actions Management
    11. 11. Copyright 2011-2013 IPROS Cube Confidential & Proprietary material Customer, Service & Organisation
    12. 12. Copyright 2011-2013 IPROS Cube Confidential & Proprietary material info@iproscube.com T: +44 1483 688 000 M: 07979 598742 IPROS CUBE Ltd. Surrey Technology Centre, Surrey Research Park, 40 Occam Road, Guildford Surrey, GU2 7YG U.K. www.iproscube.com Contact

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