INDIVIDUAL ACCOUNTABILITY AND CONDUCT

Worldwide, regulated firms are being required to identify senior managers, allocate responsibilities to these senior managers, draw together responsibility maps for the firm, and ensure that senior managers (and in some cases a wider range of staff) are fit and proper for their roles, and meet conduct and certification rules established by the regulator. Corporater offers solutions to support your Individual Accountability & Conduct journey by empowering your employees with greater visibility and knowledge on various requirements to stay compliant with relevant laws, rules, codes, regulations, obligations, and standards applicable to your industry.

Corporater Individual Accountability and Conduct Solutions

Corporater’s specific solutions helps you manage your IAC program by systemizing and digitizing the process for governing, managing, and assuring the individual accountability and conduct regimes, and certification regimes.

Corporater individual accountability solutions offer all the functionalities including approval workflows and delegations, production of individual Statements of Responsibility (SoR) and organizational Management Responsibilities Maps (MRM), recording and reporting conduct rule breaches, evidencing reasonable steps and more.

Corporater supports all the steps that are required for senior managers to record, monitor, and take reasonable actions to prevent regulatory breaches in the areas for which they are responsible.

Corporater Individual Accountability & Conduct solutions such as MAS IAC, SMCR, and MICR software are built as accelerators that can be configured per customer’s needs and implemented quickly.

Explore Solutions

Discover how Corporater helps businesses to manage a wide variety of compliance frameworks under individual accountability & conduct. Reach out to us if you are seeking a specific solution, and our team will configure it for you on the Business Management Platform.

COMPONENTS and EXAMPLE SCENARIOS

  • A dashboard for each in-scope Legal Entity displaying the status of SMR, CR and Conduct Rules for the entity

COMPONENTS and EXAMPLE SCENARIOS

  • Import data on Individuals either by system integration or by manual data uploads

COMPONENTS and EXAMPLE SCENARIOS

  • Produce dynamic org charts with roles and responsibilities

COMPONENTS and EXAMPLE SCENARIOS

  • Produce Management Responsibilities Map with current system data

COMPONENTS and EXAMPLE SCENARIOS

  • Alert on pending or over-due actions and initiatives

COMPONENTS and EXAMPLE SCENARIOS

  • Individual Senior Manager’s profile page
  • Current functions and responsibilities
  • Delegations
  • Pending and rejected functions and responsibilities

COMPONENTS and EXAMPLE SCENARIOS

  • Current and historical versions of Senior Manager’s Statements of Responsibilities

COMPONENTS and EXAMPLE SCENARIOS

  • Details of an SMF
  • Current assignment of the SMF
  • Default responsibilities associated with the SMF
  • Risks identified with the responsibilities

COMPONENTS and EXAMPLE SCENARIOS

  • Details of a prescribed responsibility
  • Risks identified with the responsibility
  • Mitigating actions
  • Initiatives timeline

COMPONENTS and EXAMPLE SCENARIOS

  • Details of a mitigating initiative
  • Initiatives timeline
  • Key activities and milestones

COMPONENTS and EXAMPLE SCENARIOS

  • Identify Certification population
  • Flag Material Risk Takers (MRTs) and their function areas

COMPONENTS and EXAMPLE SCENARIOS

  • Track Individuals’ Fitness and Propriety

COMPONENTS and EXAMPLE SCENARIOS

  • Monitor Individuals’ training and performance

COMPONENTS and EXAMPLE SCENARIOS

  • Manage and monitor the whole Certification process

COMPONENTS and EXAMPLE SCENARIOS

  • Line manager dashboard for Certification approvals

COMPONENTS and EXAMPLE SCENARIOS

  • Mass-produce Certificates for approved people

COMPONENTS and EXAMPLE SCENARIOS

  • Individual profile page for each Certified person

Take the Digital approach

Avoid a manual approach and use a proven, digital approach to get everyone mapped, certified and required processes systemised.

Handle complexities with ease

Handle the complexities of multiple, diverse entities types and SMs with multiple roles, and the on-going processes of staying up to date and compliant.

Business-as-usual

Have the confidence about being and staying compliant with individual accountability regimes with technology support.


Build your own solution

Build a solution to meet your regulatory compliance needs. Corporater provides 250 ready-made business objects that are configurable to reflect the way you manage your business.

  • SMCR (UK)
  • MICR/MAI (Hong Kong)
  • BEAR (Australia)
  • MAS (Singapore)
  • MAFC (France)
  • Banking Act (Germany)
  • FINRA, SEC, FRB (USA)

Testimonials

“Conducting the survey and taking corrective action was a manual and time-consuming process, and we needed a tool that automated the entire process, yet abiding the rules on anonymity and data safety.”

Inger Helen Berge

IT consultant at Helse Vest

Looking for something unique?

Challenge us!

At Corporater we know every customer is different, so we have highly personalized the customer experience.  Before you even become a customer, we help you in your evaluation process, so you can choose the right solution for you.

If you are seeking a specific solution and want to understand how it can be configured with our Business Management Platform, don’t hesitate to contact us.  We can discuss your unique requirements and work with you to create a demo customized to your needs.

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See what Corporater can do for you

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