Leverage on compliance
The regulatory framework for financial organisations requires increased compliance controls. The intensification of these rules weights on compliance officer’s responsibilities and workload.
Flows monitoring
In accordance with the new regulations, KeeSense® tracks all the flows throughout its entire life cycle.
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Each line of the portfolio is made up of accounting operations and each movement is independently saved. Tailor-made reports are generated and allow alerting the compliance officer whenever some movements exceed the authorized threshold. A precise tracking application is natively integrated and gives clear information on all the changes that occurred in the flow (user, date and time, previous and new value).
Documents’ validity control
The electronic document management system allows scanning, storing and assigning them attributes that are tested for specific occurrences.
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Automatic compliance controls bring a precious support to the compliance officer by sending alerts in case of anomaly (expired validity of documents for example). Keesense® grants an improved compliancy of critical documents with the current regulatory framework.
Customer knowledge
KeeSense® lists all the entries of your profile management questionnaire and centralises the data required by the MIFID, LBA.
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KeeSense® collects and saves the data related to clients’ experience, risk tolerance and their terms of instruction. The associated management profile determines the expected investment behavior. Consequently, is checked against each client’s asset management profile in order to ascertain the impact of any buy or sell transaction.
Anomaly detection
A system of anomaly detection watches all KeeSense® ‘s entity (client, portfolio, asset, document, movement, etc.)
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Each operation triggers a prior compliance control of the concerned items. The detected anomalies are listed in a report so that the compliance officer can take corrective actions if necessary. The anomaly detection process can be configured to fit the rules established by the wealth management company.
Daily compliance management
KeeSense® supports compliance officers in their day to day missions:
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- Documents validity control with trigger alerts when it is expired
- Customised reports inform when fund movements exceed a pre-determined threshlod.
- Supply of compliance reports that are required by fraud prevention authorities
KeeSense®’s intelligence relies in the powerful configuration capacity that guarantees the compliance of your company with your clients’ expectations as well with the current regulation and your own control criteria.