top of page
Lawyer reading

Compliance By Design

A Single Rulebook linked to Operating Procedures for each Regulated Entity

Read More

Fund Elements delivers a Single Rulebook with a complete set of regulatory documents for each Regulated Entity and links each obligations to your Operating Procedures.

Orchestra
Sheet Music

With the precision required by Regulatory Authorities

Regulatory Scale and Complexity

Single Rulebook

Single Rulebook

Compliance By Design - FAQs

Compliance by Design is a new approach to managing Regulatory obligations that is aligned to the specific needs of each Regulated Entity. It delivers a Single Rulebook for a Regulated Entity with a complete set of regulatory obligations, cross referenced to operational procedures.

RULES Index

An Index of rules by theme to help you navigate the scale and complexity of regulatory requirements

RULES Library

A library with each rules document and cloud functionality to enable teams to collaborate

SOPs

High quality Standard Operating Procedures with easy to follow business process-flows

RULES Matrix

A matrix report linking each obligation to a SOP activity with the precision required by Regulators



“Each Regulated Entity should review the regulatory obligations placed on it and should identify precisely under which managerial function each regulatory obligation falls”


 

Regulatory Guidance - Central Bank of Ireland

Regulatory Functionality

RegulatoryFunctionality

The Single Rulebook is available in a cloud App designed for businesses operating in Regulated Industries. The App provides functionality for Finance and Technology Professionals and supports all stages of change lifecycle from Impact Assessment to Regulatory Inspections.

stakeholder.jpg

STAKEHOLDER

Line by line allocation of rule requirements to functional stakeholders 

sop.jpg

PROCESS LINKS

Link regulatory rule requirements to process activities 

document.link.jpg

DOCUMENT LINKS

Connect regulatory source documents to results of impact analysis

tree.jpg

DEPENDENCY TREES

Dependency Analysis to link documents to regulatory obligations

change.management.jpg

CHANGE MANAGEMENT

Manage technology change by cross reference stories to regulatory obligations

chat.jpg

CHAT

Context based chat with team members to clarify rule requirements

bottom of page