Ethics module

The regulator requires reporting institutions to establish and maintain an effective system for managing conflicts of interest. This system must be appropriate to the size, organization, nature, importance and complexity of the institution's business, in order to identify any situation whose existence may be detrimental to a customer's interests.

Module functional ecosystem

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Declaring personal transactions

Interface for declaring personal transactions / Coverage of property management and private equity activities / Validation workflow / Audit trail for declarations, approvals and supporting documents

Declaring gifts

Interface for declaring gifts and benefits offered or received / "Conflicts of interest" control / Validation workflow / Audit trail for declarations, approvals and supporting documents

Declaring external functions

Interface for declaring positions, mandates and outside functions / "Conflicts of interest" control / Validation workflow / Audit trail for declarations, approvals and supporting documents
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Check declarations

Watchlist and blacklist" automatic control / Conflict of interest" control / Workflow for handling anomalies and collecting supporting documents / Audit trail

Managing conflicts of interest

Employee self-declaration (1st level) / Control to identify proven conflicts of interest (2nd level) / Audit trail for identified situations

Edit reports

Editing the register of ethical declarations / Monitoring validation status / Exporting data in Excel format...