Compliance Approval Management - made simple

Managing the Compliance Approval processes can become a full time job in some organisations. We have built easy to use, automated functionality in ERIC for the submissions, approvals and monitoring of compliance to your firm’s internal compliance requirements.

Automate the Compliance Approval management – pre and post approval, such as:

  • Personal Account Dealing  – including management of the contract notes
  • Gifts & Entertainment – including management of the receipts
  • Conflicts of Interest
  • Policy attestations
  • Financial Promotions

 

The module has interactive submissions, approvals, rejections, alerts, reporting and full audit trail, all integrated with the rest ERIC – for raising of issues, events, mapping to controls or regulations.