RiskBase - Compliance Management System

Revolutionising your compliance effectiveness

A system designed, built and maintained by experts

RiskBase Breach Register

Key Features

Overview

Highlights Key Actions

See key data at a glance in real-time. An intuitive action flag system prioritises tasks so you never miss a deadline.

Structured Registers

Collect and access information needed to demonstrate compliance through registers based on legal and regulatory requirements.

Automated Reporting

Generate reports in real-time or for selected dates, for any entity at any level; ideal for fund structures.

Control User Permissions

Keep data secure. RiskBase allows you to allocate or restrict access to each register.

Track Changes

A comprehensive audit trail of changes and actions taken.

Jurisdiction Specific

Fields and registers customised for jurisdictions including Jersey, Guernsey and the Isle of Man (with more coming soon).

Demonstrating Compliance Effectiveness

Benefits

Eliminate spreadsheet and version control risk

No longer rely on spreadsheets created and held by individuals.

Stay compliant

RiskBase is aligned to relevant jurisdictional requirements.

Create reports

Automated reports, graphically presented and with free-text boxes. Enables you to satisfy regulatory data reporting requirements.

Reduce deadline risks

Manage deadlines with our action flag system.

Keep data secure

Provide or limit access to data. Enhance the maintenance and protection of sensitive information in a secure environment.

Manage multiple entities 
with ease

Make entries to the registers of different legal entities, including funds, switching with ease.

Your path to effective compliance

Functionality

Registers

RiskBase features easy to navigate, searchable registers built to aid compliance with legal and regulatory obligations.

  • Ensure you collect requisite data by using pre-built forms.
  • Gain confidence that all entries are safe and organised using the carefully designed interface.
  • Data is securely stored on an encrypted server.
  • See at a glance which entries require immediate attention or if due dates are approaching.
  • Audit trail of all changes.
  • Automated reporting informed by regulatory requirements.
RiskBase Breach Register

Actions

  • Take a proactive approach to your regulatory requirements. Keep track of regulatory deadlines.
  • Access compliance performance in real-time.
  • RiskBase keeps specified timeframes and requirements up to date in line with legislation and regulation.
  • Clear action status reporting.
RiskBase Actions

Reporting

  • Simplify reporting.
  • Provides the board with clear accurate information.
  • Extract data for any time period and at any level – group or entity.
  • Filter by register, entry status and required actions.
  • Save settings for standardised reporting.
  • Export reports in Microsoft Excel (CSV) and PDF

RiskBase’s compliance registers are the foundation on which we will build future enhancements to include risk assessments and compliance monitoring plans.

RiskBase Reporting