Compliance & Control

A key issue facing financial institutions globally is the mis-selling practices associated with Investment products. Retail investors across Asia are taking action against Bank’s they believe sold them investment products where the risks were not apparent.

AG|Capital's Compliance and Control Module contains the business services required to ensure adequate Compliance and Controls mechanisms are set in place to systematically identify events/breaches at the system level.

The business rules and parameters behind these controls can be applied across your organisational structure and supports a multi-entity - multi-tier business organisation required for either a local , regional or global deployment of the AG|Capital solution across your bank.

This module also encompasses a regulatory reporting feature for transactional flow. With a full transactional and event based Audit Log , regulatory audits can be conducted with greater ease and transparency in accordance to the increased focus on selling practises for investment products in the aftermath of numerous high profile investment product cases during the global financial crisis.

Armed with the correct system based controls supporting the entire distribution process , your bank can be free to focus on growing product sales volumes and revenues through business automation , without having to worry about the operational compliance processes which were so severely stressed in the past 24 months.