Regulatory Reporting

Key Challenges

  • Being able to generate reports for filing purposes on completion of each the important compliance process, so that compliance evidence at the institution could be showcased during regulatory inspections.
  • Being able to carry out detailed investigation and seek authorizations from senior management prior to generating and filing regulatory reports.
  • Being able to generate Currency, Suspicious Transactions and other regulatory reports at click of a button, in printable as well as electronic forms.
  • Being able to generate governance, risk management and compliance matrices driven reports for board members, senior management and operational managers.

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KYCsphere Solution

Regulatory, management and operational reporting requirements are essential to manage the compliance function. It is obligatory to meet legal requirements of filing currency, suspicious transactions reports to Financial Intelligence Units (FIUs) of each jurisdiction that institution operates in. Compliance undertaken and reports generated also need to be maintained for multiple years along with their history and audit trails. These serve as evidence of processes implemented and controls exercised, at the time of regulatory inspections.

KYCsphere's Regulatory Reporting tool encompasses the aforesaid requirements of creating, populating and validating regulatory reports in a simple Internet browser. These could be printed or exported as per the desired format, including the electronic one for auto upload to the regulators. Regulatory reports such as Cash Transactions and Suspicious Activity reports among these are generated after identified high risk alerts from Alert Management tool are investigated in the Case Management tool and after getting the necessary senior management permissions to file these with Financial Intelligence Units (FIUs). Internal management and operational reports are created that summarize vast amount of customer data into indicators & trends of internal & external fraud detections, money laundering activities, suspicions leading towards terrorist financing and other risk and compliance management & governance matrices.

This feature-rich tool can give your institution market agility and regulatory flexibility without any capital expenditure and with the least of IT intervention.

See KYCsphere Regulatory Reporting tool in action.

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Key Benefits

  • Cost effective and single click simplified method of complex regulatory reports generation, in spite of all the changes sought in the reporting formats over a period of time.
  • Timely generation of pre-populated regulatory reports in desired formats for internal storage and automatic electronic uploads, as per the formats and deadlines prescribed by the FIUs.
  • Archiving of internal and regulatory reports for as many years as prescribed by regulators, along with complete audit trails and historical information.
  • Manage the entire regulatory interface of receiving requests, submitting reports, resubmitting corrected reports, presenting evidences and showcasing proper processes & controls during regulatory inspection.

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