Compliance Management Solutions (Brochure

COMPLIANCE MANAGEMENT SOLUTIONS
THOMSON REUTERS ACCELUS™
COMPLIANCE MANAGEMENT SOLUTIONS
THOMSON REUTERS ACCELUS™
Our solutions dynamically connect business transactions, strategy, and
operations to the ever-changing regulatory environment, providing highly
regulated firms with informed outcomes. Our client groups include
compliance, audit, legal and risk functions within the organization. We
partner with firms to manage their risk exposure and accelerate their
business at every step.
COMPLIANCE MANAGEMENT SOLUTIONS
WHO WE ARE
WE OFFER CONNECTED COMPLIANCE MANAGEMENT SOLUTIONS TO
HELP YOU MANAGE RISK
In today’s rapidly changing regulatory environment, organizations need to be empowered with tools
that help them navigate the constantly shifting rules, internal business processes, and regulatory
reporting requirements. Thomson Reuters Accelus™ Compliance Management
Compliance Management Solutions provide regulatory insight through the ability to identify, map and
track regulatory change, process integrity with workflow designed to communicate, test, and audit
controls including policies and training, and transparency with capabilities to evidence risk and controls
to management and regulators.
Thomson Reuters Accelus
3
COMPLIANCE MANAGEMENT SOLUTIONS
WHAT WE DO
WE CONNECT YOU TO RELEVANT CONTENT
Thomson Reuters Accelus Compliance
Management Solutions connects your firm to
our complete portal for relevant regulatory
news, analysis, reference to rules, and ability to
track developments as they happen.
• Establish precise relationships between
rules, regulations and policies to organization hierarchies and risk hierarchies and
map mitigating controls and policies
• Track actions required to facilitate the
organization’s compliance with new regulatory requirements and automatically notify
business owners to determine applicability.
• Identify gaps in how the organisation is
managing regulatory risk
WE MONITOR, ASSIGN, AND ASSESS
REGULATORY CHANGE
• Regulatory updates are presented directly
to the users in the platform to keep firms
informed of regulatory changes
• Event triggered E-mails and alerts that are
created and assigned to the designated
business owner for follow up upon regulatory change
• A full audit trail is available for who was
notified and assigned of all regulatory
updates
4
COMPLIANCE MANAGEMENT SOLUTIONS
WE DEFINE AND COMMUNICATE
CONTROLS INCLUDING POLICIES
AND TRAINING
• Manage the responsibility and accountability for policy development, updates and distribution with a centralized control interface
and reporting that demonstrates compliance across the enterprise
• Document, monitor and report risks relating
to compliance initiatives
• Assign ownership, oversight and accountability for policies
WE EVIDENCE RISK AND CONTROLS TO
MANAGEMENT AND REGULATORS
• Capture upcoming examinations including
any required details such as data required,
date due, requested information
• Log inquiries from regulatory bodies or
other sorts of external (or internal) requests
• Assign responsible parties for the fulfillment of these requests through workflow
COMPLIANCE MANAGEMENT SOLUTIONS
HOW WE
WORK
COMPLIANCE MANAGEMENT SOLUTIONS OFFERS EFFECTIVE WAYS
TO MAINTAIN COMPLIANCE
Thomson Reuters Accelus Compliance Management Solutions provide you a competitive advantage
with a system that enables users to join up the ever changing regulatory information and connect it to
their internal compliance business process workflow.
• E
ffective: Precise relationships between regulations and internal business structures, policies,
and risks
• P
roactive: Regulatory updates that are dynamically linked to the relative risk, policies and
controls and communicated to the respective business owners
• E
vidence of Supervision: complete audit trail of regulatory updates, corresponding actions,
and changes to policies, controls and action plan follow up.
• C
ollaboration: Management and sharing of regulatory information, risks, policies, controls,
tests, and management remediation data stored in a central library
• A
utomation: Purpose built workflows to streamline tasks related to impact assessments,
supervisory controls, regulatory examinations, compliance reviews, and more…
• T
ransparency: Robust, configurable reporting delivered, through alerts, status reports, dashboards and heat maps
Thomson Reuters Accelus
5
COMPLIANCE MANAGEMENT SOLUTIONS
CONTACT US
LET THOMSON REUTERS ACCELUS ASSIST YOU
Visit our website at accelus.thomsonreuters.com
for more information on any of our solutions:
• Board Solutions
• Disclosure Solutions
• Due Diligence
Solutions
• Enterprise GRC
Solutions
• Internal Audit
Solutions
• Internal Controls
Solutions
• Policy Management
Solutions
• Regulatory
Intelligence Solutions
• Risk Management
Solutions
• Screening Solutions
• Training Solutions
6
COMPLIANCE MANAGEMENT SOLUTIONS
AT A GLANCE
THOMSON REUTERS ACCELUS COMPLIANCE MANAGEMENT SOLUTIONS PRODUCT LINE:
Compliance Manager
• Establish precise relationships between regulations and internal business structures, policies, and risks
• Dynamically link regulatory events to the relative risk, policies and controls and communicated to the respective
business owners
• M
anage and share regulatory information, risks, policies, controls, tests, and management remediation data stored
in a central library
• E
nable data capture, workflow and reporting to support compliance activities including: investigations, supervisory
controls, filing tracking, and regulatory certifications
• D
ocument and manage impact assessments related to the impact and applicability of regulatory events, and the
required actions to be in compliance
• E
nforce a consistent process with configurable workflows for evaluating suspicious activities. Automated emails are
sent to remind users of upcoming deadlines
• Centralize issue management and remediation plan documentation for compliance related processes
• I ncrease compliance transparency with robust, configurable reporting delivered, through alerts, status reports,
dashboards and heat maps
Policy Manager
• Dynamically and directly connect your policies to change regulation
• Create, edit, and share policies utilizing and evidence detail of historical and current versions of policy content
• Never miss a rule development through direct links from your compliance manual to the regulator’s rulebooks
• Automate reports and email chasers to prompt users and assist with supervision
• Create roles and responsibilities for managing and publishing your compliance manuals
• Compliance manuals will be tailored quickly by our team of regulatory experts to match firm-specific requirements
and can be up and running in days, not months
Thomson Reuters Accelus
7
THOMSON REUTERS ACCELUS
Thomson Reuters Governance, Risk & Compliance (GRC) business unit provides comprehensive
solutions that connect our customers’ business to the ever-changing regulatory environment.
GRC serves audit, compliance, finance, legal, and risk professionals in financial services, law firms,
insurance, and other industries impacted by regulatory change.
The Accelus suite of products provides powerful tools and information that enable proactive
insights, dynamic connections, and informed choices that drive overall business performance.
Accelus is the combination of the market-leading solutions provided by the heritage businesses
of Complinet, IntegraScreen, Northland Solutions, Oden®, Paisley®, West’s Capitol Watch®,
Westlaw® Business, Westlaw Compliance Advisor® and World-Check®.
For more information, visit accelus.thomsonreuters.com
Visit accelus.thomsonreuters.com
For more information,
contact your representative
or visit us online.
© 2012 Thomson Reuters L-366654/1-12