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Compliance By Design

A Single Rulebook for each Regulated Entity in a cloud App

 

Fund Elements delivers a Single Rulebook for each Regulated Entity in a Cloud App with a complete set of the regulatory obligations cross referenced to operational processes.

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Sheet Music

With the precision required by Regulatory Authorities

Regulatory Scale and Complexity

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 processes.

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

Business Analysis App

 

The Single Rulebook is available in a cloud App designed for businesses operating in Regulated Industries. The App provides collaborative functionality for Business Analysts to work with Finance and Technology Professionals and support all phases of change lifecycle from Impact Assessment to Regulatory Inspections.

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STAKEHOLDER

Line by line allocation of rule requirements to functional stakeholders 

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PROCESS LINKS

Link regulatory rule requirements to process activities 

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DOCUMENT LINKS

Connect regulatory source documents to results of impact analysis

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DEPENDENCY TREES

Dependency Analysis to link documents to regulatory obligations

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CHANGE MANAGEMENT

Manage technology change by cross reference stories to regulatory obligations

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CHAT

Context based chat with team members to clarify rule requirements