Ascent RegTech

Compliance at the
push of a button.

Automate the most frustrating, expensive, and error-prone aspects of your regulatory compliance program.

Ascent makes it easy for compliance officers to always know which laws and regulations they must comply with, and track and report on the steps they are taking to comply.

Managing regulatory risk is an ever increasing challenge for capital markets companies due to the ever-expanding volume and complexity of regulation, as well as the frequency with which it changes.  The cost of keeping track of applicable regulations and what your firm is doing to comply with them is growing annually, while the confidence you have that you’re not missing anything shrinks.

Ascent is less expensive, more complete and accurate than the exhaustive manual regulatory review that is in place at most capital markets companies today.  Our solution frees compliance departments to focus on the critically human aspects of compliance like counseling colleagues, working with other control functions and proactively addressing high-risk compliance issues.

KEY FEATURES:

TARGETED INTELLIGENCE

  • Construct a regulatory inventory with our quick-start diagnostic tool
  • Customise by importing your existing policies, procedures and manuals

WORKFLOW MANAGEMENT

  • Automate best practices
  • Allocate tasks, assign users
  • Track compliance within a single compliance ecosystem

REGULATORY UPDATES

  • Automatic updates to regulations and compliance requirements in real time
  • Heatmaps highlight regulations of particular importance

RESEARCH LIBRARY

  • Complete keyword searchable library of all applicable regulations

CASE MANAGEMENT

  • Create cases for requests or reviews from any regulator

REPORTING

  • Standard reports
  • Custom reports

KEY BENEFITS:

  • CONTEXT: Ascent technology transforms raw regulatory data from a wide range of regulatory bodies into targeted compliance obligations with comprehensive context
  • RESOURCE REALLOCATION: Ascent automates time consuming, manual compliance tasks, allowing you to reallocate resources to higher value tasks to better protect your company
  • LOWER COSTS: Ascent ends the ongoing need to increase compliance expense by enabling compliance teams to truly do more with less
  • PEACE OF MIND: Many aspects of capital markets regulatory compliance have become too complex to be effectively and confidently managed through manual human processes. Ascent reduces the risk of costly omissions or errors that can arise from these processes

Find out more about Ascent

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