Complying with the FCA Handbook presents challenges like manual data collection, fragmented information, and maintaining ongoing compliance. The complexity of FCA rules, especially for the Senior Managers and Certification Regime (SMCR), often leads to incomplete data and insufficient follow-up.
How does Omnitrack address data collection and compliance maintenance?
Omnitrack’s FCA Compliance Solution centralises all data and supporting documents in one secure system. Our platform features customisable workflows to streamline data collection, review, and maintenance, with automated reminders and flagging systems to keep compliance staff on top of reporting requirements and quickly identify potential issues.
What workflows are included in the FCA Compliance Solution?
This solution includes workflows for:
- SMCR compliance
- Managing external interests
- Conflicts of interest
- Recording and reporting of incidents
- Major shareholdings
- Insider lists
- Professional indemnity insurance compliance
These workflows collectively provide a comprehensive solution for FCA compliance.
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Manage data collection and workflows from one central platform. Gain complete control over your workflows.
Centralised database
Store all your data in a central database, eliminating the need for multiple documents, PDFs, or spreadsheets.
Customisable forms
Use our best-practice templates and tailor them to your specific needs.
Dynamic dashboards
Track submissions and identify trends efficiently with custom dashboards that provide real-time data and analytics.
Automated workflows
Set up automated reminder emails, notifications for flagged items, and escalation for unresolved issues.
Comprehensive flagging
Automatically highlight high-risk submissions, saving time and ensuring no critical issues are overlooked.
Quick reporting
Generate detailed, graphical reports in seconds, making it easy to analyse and share data with stakeholders.
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