The problem

The SRA requires firms to record all incidents and report regulatory breaches. Many firms collect reports via online surveys, and lengthy Word, PDF and Excel forms. Entries are then stored in Excel spreadsheets, making it difficult to keep track of such reports, ensure correct courses of action are taken, update incidents and breaches and ensure they are either resolved or escalated. Spreadsheets are limited by their two-dimensional nature, lack of automation tools and lack of security.

The solution

VinciWorks' incidents and breaches portal allows firms to track all incidents, breaches, losses and complaints. Compliance teams can record details as events unfold and associate an unlimited number of breaches to each incident. Breaches and incidents that require immediate attention can be flagged, allowing compliance teams to easily follow up reports.

Core features

  • Record all incidents, breaches, claims and losses in one centralised system
  • Track any required follow-up and reports
  • Customise form fields to suit your firm's needs
  • Engage the entire firm and facilitate whistleblowing throughout the firm
  • Create reporting charts in seconds to get a full view of the types of incidents that are being reported
  • Track individual incidents as events unfold
Gif showing how easy it is to create a chart

Create forms, track and manage reports on one platform

Build

Administrators can either build forms themselves or use our best-practice customisable built-in forms. High risk submissions are then automatically flagged.

Track

Track who has completed the form and easily identify any risks. Automatic email reminders can be set for those who do not complete the survey.

Review and resolve

Review flagged entries via the dashboard and take appropriate action.

Manage reports

Submissions can be segmented by administrators and all entries and reports can easily be exported.

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