Implementing Risk-Oriented Compliance

The significance of compliance efforts, in reference to compliance with due diligence duties, is growing around the world.  Greater cash flows (such as those from the developing regions of China and Eastern Europe) are presenting growing challenges for financial compliance.

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Die Innovations Compliance Suite: Geschäftsvorfälle risikoorientiert überwachen

The new SFBC Money Laundering Ordinance took effect in July 2008, with its detailed requirements aimed at preventing market abuse and insider trading, as well as the stricter provisions of the 3rd EU Money Laundering Directive in national law.  Law makers are taking a decidedly more rigorous view of scenarios in which money laundering, fraud, or market abuse can occur. 

The Innovations Compliance Suite

Our Compliance Suite offers the foundation for modeling a financial institution’s compliance requirements.  Designed as building blocks, the various compliance functionalities can be combined and utilized in an integrated interface.

Anti-Money Laundering MLDS Know Your Customer Anti-Money Laundering Persons of Risk/Embargo Name Comparison Embargo Monitoring Market Abuse MAID Insider Trading Market Abuse Fraud Detection Fraud Detection


These compliance functionalities can also be accessed from other applications, such as the overall bank system or from individual front-end applications.