Below is a list of the different Modules on the Access Compliance Software and what they can be used for:
Activity Register - Create activities for a user to complete and Link it to a record in the ERM
Breach Reporting - Recorded breaches will be escalated to the module supervisors, they will then be prompted to decide the materiality of the breach. Task can be scheduled when remedial action is required. Reports can be generated to track trends and identify areas for concern.
Breach Register - The Breach Register can be used alongside the Incident Register module with any associated breaches being recorded through the Breach Register and linked back to the relevant incident record.
Bribery Risk - Record all bribery risks assessments and track any required remedial action.
Client Feedback - Record client feedback using the provided template, the data can then be analysed in the reporting suite where uses can identify areas to improve.
Complaints - Complaints can be logged with the required details to help fully investigate, once logged they can then be escalated to the required person where the task workflow will take them through the full investigation process. Reports can be generated to identify complaint trends and where the complaints are coming from.
Complaints Register - Complaints can be logged with the required details to help fully investigate, once logged they can then be escalated to the required person where the task workflow will take them through the full investigation process. Reports can be generated to identify complaint trends and create regulatory reports
Access Compliance Software: Log a Complaint
Control Register - Create different controls and link them back to the records they mitigate, one control could be linked to many risks.
Documents Register - Add documents to the system, any relevant records in the ERM system can then be linked to these documents
File Audits - Schedule and record a file audit, if required create corrective action and verify tasks being notified when these have been completed. Reports can be generated to identify trends within audits and to confirm all details have been updated.
Gift and Hospitality - Record when you have given or received a gift or hospitality, set up rules within the system to allow for certain value items to be automatically accepted and for others to be sent for a review. Multiple rules can be set up depending on the type of entry, the amount and the recipient or giver.
Gift Register - Users can record any gift they have been given or received, a task will then be created to review and decide if the gift can be retained or rejected.
Impact Register - Create a register of different impacts certain risks might have on the company, these risks can then be linked directly to records
Incident Register - The Incident Register allows clients to record, manage and remediate a range of incidents, and their associated breaches, that occur at the business.
Misconduct Reporting - Record details of any misconduct, you will then be prompted to follow the correct procedure when dealing with this incident, adding details if it needs to be reported and any outcomes.
Money Laundering Suspicions - Record suspicions of money laundering, when logged a task will generated for the relevant user to investigate and determine if the suspicion needs to be reported to the NCA.
Periodic Review - Audit the firmās compliance on a periodic basis and asses any areas that need actions.
PII Claims - Record any potential claim, adding the relevant details and escalating the record to a claim is necessary. You can update the record as a claim progresses and add details from the insurer.
Referrals - This module enables firms to record and manage their referral arrangements; it will guide them through the process of ensuring arrangements are compliant and will warn them if they should cease accepting referrals or not accept them in the first place.
Diversity - Create a link that can be sent to all required people, they can then complete the survey with the data being sent back anonymously for the main user to download a completed report ready to be uploaded
Risk Group - Create risk groups to manage the different categories of risks, e.g. HR, finance
Risk Register - Log risks and set mitigation plans, create reminders for when each risk needs to be reviewed. Generate reports to give overviews on all risks and their reviews.
Risk Register (ERM) - Add different risks to the system, set likelihood and impact and link to different areas of the ERM
Risk Instance - If a risk contains multiple occurrences, create different Risk Instances and link them to the main risk
Undertakings - Record any undertaking identifying if they are standard or nonstandard, create a review task to stop any missed key dates.