Compliance Behaviour is a program part of the AUDCOM platform that offers a wide range solutions of compliance related needs for a variety of industries. The program is adaptable for your firm's needs in compliance. Bearing in mind a detailed structure with an easy to use interface.
The program has a core objective of remaining compliant in communications, marketing, consultancy and development of the compliance knowledge basis.
Calls & Written Communication Monitoring
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Calls Evaluation
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Written Communication Evaluations
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Evaluation Scheme for compliance level of communications
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Covering several languages
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Personalised Reporting for Un-compliant Behaviour of Staff
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Trained Monitoring Officers in the Compliance Field
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Dedicated Platform for the firm data sharing
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Monitoring based on your specific regulatory requirements
Marketing Material Review
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Insuring and approving marketing material that is Fair, Clear and not Misleading
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Suggestions on Material Content and consultations with your firms marketing team
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Remaining helpful at the creation, campaign planning, content productions and content delivery
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Issuing reports of the Content and Approval of compliance standard from Auditiams & monitoring of marketing activities
Call & Written Communications Monitoring
Clarity, Accuracy through Simplicity in Communication Monitoring.
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Upload the communication files & choose the regulatory body the communication is based on.
Begin by uploading your communication files into the Compliance Behaviour system. Select the relevant regulatory body to ensure that the analysis aligns with the specific compliance standards required for your industry.
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Monitoring starts based on the Risk Matrix pre-selected for your company & regulatory needs
The monitoring process initiates using a tailored Risk Matrix, customized to fit your company’s unique risk profile and regulatory requirements. This ensures a focused approach that addresses potential compliance gaps.
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Select the language spoken by the agents
Choose the language spoken by your agents to ensure that the system accurately monitors and understands the context of communications, providing precise analysis regardless of language differences.
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Report Issuance segregated between Compliant & Un-compliant including personalised agent reporting
The system generates detailed reports, categorizing communications into compliant and non-compliant groups. It also provides individualized feedback for each agent, allowing for targeted improvements and addressing specific compliance issues.
Marketing Material Review
Compliance Behaviour offers a robust solution for performing compliance checks on marketing materials, ensuring that all content aligns with industry regulations and standards. By analyzing promotional content against relevant regulatory guidelines, the platform helps businesses prevent potential compliance breaches, maintain transparency, and uphold trust with customers. This allows companies to confidently market their products and services while minimizing the risk of regulatory penalties.
COMPLIANT OR UN-COMPLIANT?
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Select type of marketing material
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Select regulation & region the material will be published
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Create Case
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Assessment made
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Issuance of result being Compliant, Compliant with modification or Un-compliant
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Issuance of report
Compliants Handling
Effortless Resolution, Zero Hassle in Complaints Handling.
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Initiate to create the case on the platform with relevant data of the client compliant
Start the process by setting up a new case on the Compliance Behaviour platform. Input all necessary details related to the client's compliance requirements, ensuring that the information is accurate and comprehensive to facilitate effective assessment.
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Assessment begins
Once the case is established and the regulatory body is selected, the assessment phase commences. The system thoroughly evaluates the client's information against the relevant compliance standards, identifying any potential risks or gaps in adherence.
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Select the regulatory body the client is registered with
Choose the appropriate regulatory authority with which the client is affiliated. This selection is crucial as it aligns the compliance check with the specific guidelines and standards that the client must adhere to, ensuring a tailored approach.
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Results & Recommendations
After the assessment is complete, detailed results are generated, highlighting areas of compliance and non-compliance. The platform also provides actionable recommendations, guiding the client on necessary steps to enhance their compliance posture and mitigate risks.
