Management Information Reports

 

Compliance Star allows you to select from a package of modules which can be tailored to your needs and requirements

 

 

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Background

  • Firms need to be able to evidence the compliance oversight and management of its internal Units/Agents. Clear and concise reporting is a requirement from the regulator.

Compliance Star

  • A range of reports and dashboards will be accessible including status reports on Audit and APER On-boarding Report.
  • The search capability allows you to define criteria to search on within the reporting frameworks.
  • Search via calendar dates to review audits undertaken refined by Units/Agents.
  • Reports can be downloaded by Excel, PDF, CSV or XML file.
  • Required actions reports can be accessed and managed from this central point.
  • Reports can be downloaded for further refinement, analysis and presentations within board reports.
  • Complaints register and reports can be downloaded to assist with regulatory reporting.
  • Comprehensive complaints reporting that can be drilled down to volume, days taken to resolve, redress and complaint reasons to support identification of root cause and remedial actions and more.
  • Financial promotions reporting and dashboards for clarity of operational service level agreements and types of promotions being published.
  • All reports can be drilled down by date range, Units/Agents for supervision and oversight.
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Benefits

  • The readily available information across a range of reports types giving you both granular and high level governance for all the firms Units/Agents will satisfy the regulators oversight requirements.
  • The range of download options allow for a range of format types to various internal presentations.
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