Conduct rules management Enhanced visibility of conduct rules Easily confirm which employees are subject to conduct rule Tiers 1 and 2 and log any breaches ensuring consistent and thorough management of conduct rules. Comprehensive compliance oversight The SM&CR management module provides a firm-wide view of compliance, including conduct rule breaches and certifications, with a management responsibilities map to ensure all obligations are covered. Proactive compliance checks trust will flag any outstanding conduct rule requirements or breaches, helping firms address issues before they escalate. Tracking and recording of conduct rule breaches Conduct rule breaches and assessments are tracked and documented within the system, supporting thorough recordkeeping for compliance audits. trust enables firms to clearly define and track which employees are subject to specific conduct rule tiers and to log any breaches as they occur. This ensures that all conduct rules are managed consistently across the firm, with clear records of any conduct rule breaches. SM&CR management module | 25
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