"It's not what you know, it's what you can prove!"
Make sure you have the records to prove your compliance, verify your compliance, manage exceptions to resolutions and produce reports.
Automated Rule Checking
Flag potential rule breaches with automatic checks. All flagged rule breaches launch the GRC Case Manager.
GRC Case Management
Rule checks flag potential violations/breaches and launch the GRC Case Manager. Every GRC Case is investigated, assessed to be a breach/non-breach ad resolved.
Ensure your firm as all the information recorded to prove compliance with statutory laws, regulatory rules and contractual obligations.
Extract valuable management information for reporting to senior management and breach/risk analysis.
GRC-Maestro gives smaller regulated firms the ability to manage multiple regulatory, legal and contractual requirements on a single system.
Investment firms can use GRC-Maestro to manage compliance in specialist areas, including: investment mandates, outsourced services, senior management responsibilities, code of ethics, etc.
Investment banks/brokers can use GRC-Maestro to manage compliance in specialist areas, including: best execution, conflicts of interests, code of ethics, etc.
Private banks can use GRC-Maestro to manage compliance in specialist areas, including: Know Your Client, AML risk assessment/resourcing, AML suspicious transaction investigations/reporting, etc.
Accountants looking to provide clients with regulatory compliance technology and/or outsourced support can leverage GRC-Maestro to grow their service offering.
Investment Fund and quoted company Board Directors who need to evidence compliance with listing rules and fund regulations.
Consultants who want to improve their operational efficiency or provide new regulatory services for their clients can achieve these objectives with GRC-Maestro.
Fund Administrators who are looking to either improve their client’s regulatory compliance or meet new requirements can build and manage these on GRC-Maestro.
GRC-Maestro supports standardised regulatory requirements or customised solutions.
The structures and controls in place to ensure a firm or their operations are correctly controlled is essential for regulated firms, mutual funds, …
Risk is an element of all business, so it is important to identify, assess and manage it. GRC-Maestro helps ensure your firm operates an appropriate risk…
If your firm is conducting regulated activities, then you have to be licensed and ensure you can prove compliance with the license requirements…
Implement the statutory and contractual obligations your firm has as well as monitor and enforce the obligations of outsource service providers and other…