GRC + Audit Platform for managing the National Financial System
Complete base of regulations from the CMN, BCB and more than 20 regulatory authorities, organized in folders and cataloged to facilitate the search by related attributes or by the document's content itself.
Modules and Functionalities
REGULATORY BASIS
This base can be fed back with comments, documents and internal
reports from the organization itself, in a centralized and unified way.
The
platform, fed with content from one of our partners, provides a complete base of regulations, with feed and daily
updates. Disclosure is done quickly, with a summary of published standards and
classified by related attributes for later consultation. The database includes the
rules of the CMN, BCB and other NFS regulators.
CONSOLIDATIONS
In addition to the rules separated and organized by regulators, in folders, in the regulatory base, the platform
also allows the availability of Consolidations, concentrating the content of CMN and BCB rules for almost a hundred
pre-defined subjects and their associated rules.
Connection with the
Risks mapped from a new standard can also be linked to the
NORMS' APPLICATION
Allows directing information through the Application of Norms to managers
and the main expected areas of the institution, establishing a routine to control
the direction of procedures to the requirements of the new regulations, offering
means for comments by the teams.
The areas and managers are alerted about
the related demands and report the need for an action plan.
Allows you to
identify GAPs and monitor action plans to adhere to regulations. Flow to control
recurring information deliveries - CADOCs and
others - to the Central Bank of Brazil and other regulators.
REGULATORY CALENDAR
The regulatory calendar, linked to a new standard, assists in meeting deadlines, the validity of regulations and the delivery of action plans, which aim to address pending points of non-compliance.
INTERNAL CONTROLS
Identify and register the risks inherent to your business. Evaluate the
probability of the risk occurring and the impact on operations, under quantitative
aspects, if the problem occurs. Be aware of the company's degree of exposure to
identified risks.
Record the controls performed in order to reduce or better manage the identified risks. Classify controls as detective,
preventative, automatic, or manual, organized as defined by COSO components and principles.
AUDIT
Record all audit processes on a specialized platform to assess the
effectiveness of risk management, control and governance processes in the
organization. Formulate the Internal Audit Strategic Plan, the Audit Plan and manage the activities allocated to
the responsible auditors in an organized and standardized way. Have centralized
access to all the results of the evaluated processes.
Identify failures and
weaknesses in order to direct the correction of non-compliance points. The platform
offers a product that allows you to organize audit processes, through the definition
of audit activities, test procedures and registration of points of attention.
REPORTS
Carry out a deep analysis, monitor unanswered demands through reports and
graphs, action plans resulting from non-conformities and specific information for
each module.
Through reports and dashboard, the manager has a complete view
of pending action plans, answered comments, pending applications, standards
published in the last 7 days, among other views. These functionalities allow for
total control and management, to identify GAPs and follow up on action plans to
adhere to regulations.
COMPLETE COMPLIANCE PROGRAMS FOR NFS
Questions ready to formulate and apply Compliance Programs to verify
compliance with the rules of the National Monetary Council and Central Bank of
Brazil. The system controls deadlines for managers to follow up and respond to
demands made by the Compliance function.
In addition, a highly qualified
team helps answer and support questions about CMN and BCB standards, the Help Desk.
The technological base of Compliance, Risks and Controls and Auditing is provided by Regdrive, the content (regulatory
base and the regulatory calendar) and support for doubts, the Help Center, are
managed by one of our specialized partners.