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Introduction

The Compliance workload shows no signs of decreasing. An ever-growing list of requirements and regulatory changes makes the compliance role harder than ever.

And minimising your firm’s risk of breaching regulations is tricky when you face pressure from the business to get financial promotions out faster. Our Compliance automation tools can help.

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Accessible workflow solutions enable online collaboration, reviewing and approval – significantly reducing compliance admin

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Automated approval and archiving minimise the risk of regulatory breaches

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Publishing tools improve the accuracy of content, reduce errors and speed up compliance approval

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User-friendly Microsoft templates and content libraries make brand-compliant, accurate and professional presentations and documents easy

Common Challenges

Our extensive experience with financial and professional services clients – large and small – has shown that all Compliance teams face similar challenges:

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Managing a growing workload – as increasing regulation and industry consolidation mean more work with less resource
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Ensuring regulatory compliance; minimising the risk of non-compliant financial promotions.
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9 times out of 10, financial promotions are rejected for ‘non-Compliance’ reasons – typos, errors, poor writing style
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Duplication and inefficiency in the compliance review process
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A battle to embed compliant processes as ‘business as usual’ and encourage a culture of good governance
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Admin overload – with ineffective manual processes slowing you down

Our Solutions

We can solve these challenges!

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Ensure watertight regulatory compliance
DotApprove automates compliance review and sign-off, meaning no steps are missed and the opportunity for human error is minimised
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Speed up the approval process
Real-time collaborative reviewing and online approval in DotApprove means faster sign off. Duplication and version control issues are eradicated for seamless financial promotions production
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Reduce compliance admin
Paperwork is minimised via online review, approvals and automatically-created audit trail. Labour-intensive manual processes are replaced with intuitive automated workflows
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Ensure brand consistency
Save time correcting non-compliant branding: branded presentation templates are locked down in RightSlide, while OnBrand does the same for your Word documents
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Data is current and accurate
Ensure only accurate data – AUM, performance figures, disclaimers, corporate information – are used. Watermark unapproved content to prevent non Compliance-approved documents and presentations
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Keep on top of a growing workload 
Keep track of multiple projects on user-friendly collaboration and project management software
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