Individual Accountability and ConductSystemize and digitize processes
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 help 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.
Explore SolutionsDiscover 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.
Tool or Solution
The difference can be millions of dollars
Corporater Individual Accountability and Conduct Solution – Video Demo
Using the Corporater Individual Accountability and Conduct (IAC) solution, you can map Core Management Functions (CMFs), assign Senior Managers (SMs) and initiate onboarding workflows.
Run Fit and Proper Process
Run processes to ensure Senior managers are fit and proper for their roles and are held responsible for the actions of their staff and the conduct of the business under their purview.
Take the digital approach
Avoid a manual approach and use a proven, digital approach to get everyone mapped, certified and required processes systemized.
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.
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)
“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 BergeIT consultant at Helse Vest
Looking for something unique?
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.
See what Corporater can do for you