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Compliance management

Compliance. Without the complexity.

Gain comprehensive insights and drive staff engagement to protect your organisation from fines, damage to your reputation and legal action.

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Greater visibility & protection

A cohesive, shared view of compliance to meet regulatory obligations and protect your organisation.

  • Centrally manage regulatory obligations and any changes to them

  • Dynamically link data across obligations, risks, controls, incidents and breaches

  • Consolidate compliance questions and attestations

  • Establish a single source of truth and have the evidence to support compliance with your regulatory obligations

Better, faster decisions

Pinpoint potential compliance problems before they become an issue. Protecht provides action-oriented insights in real time.

  • Insights on obligations, attestations, incidents and more

  • Drive decision-making with data

  • Filter and combine real-time data from across the system

  • Generate custom visualisations at the click of a button

Manage regulatory change

Keep on top of the increasingly complex legal environment with seamless integration with regulatory content providers.

  • Connect to a LexisNexis feed of regulatory obligations for your particular industry and location

  • Be alerted to upcoming changes

  • Ensure understanding with regulatory advice in plain English

Reduce time and money spent on admin

Drive better engagement with obligation owners and contributors. Leverage a system that reminds stakeholders what to do and when to do it.

  • Streamline management of compliance questions and attestations

  • Link data directly to teams and users

  • Optimise compliance follow-up with workflow alerts and reminders

  • Role-based user experience – from front-line to C-suite

Compliance brochure.

Find out how Protecht helps you to achieve compliance objectives, improve resilience and manage risk.

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The complete guide to compliance.

Managing compliance is a formidable task due to the sheer quantity of requirements. Get a helping hand.

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Enterprise risk management buyer’s guide.

What an ERM solution is, why you need one, and how to make the right choice.

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Calculate your ROI.

See how much you can save with Protecht.

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Protecht ERM – your complete picture of compliance

Structured data

A single source of truth for your entire team – no more guesswork or duplication.

  • Dynamic linking of data across obligations, risks, controls, policies, incidents and breaches
  • Central management of compliance questions, attestations and other essential data
  • Link to central libraries of risks and controls

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Dashboards

User-centric dashboards and workflows for intuitive self-serving and optimised compliance rates.

  • Dashboards customised without any need for coding
  • Digital workflows with automated alerts and reminders
  • All tasks within one view
  • Attestation processes and assignments of actions

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Actionable insights

Real-time views and powerful presentations of interconnected data, ensuring that everyone always knows the why, what, when and how.

  • Obligations and status of compliance evaluations and reviews
  • Overdue attestations, reviews, owners of non-compliant obligations
  • Risk and control assessments
  • Issues, findings, incidents and breaches
  • Custom reports and clear visual presentations

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Regulatory obligations content

Regulatory compliance obligations always up to date through integration with LexisNexis.

  • Modules for every industry and location
  • Obligations covered include cyber, privacy, AML/STF and other key financial services regulations
  • Plain English advice on current legislative framework
  • Alerts to upcoming changes

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User experience

User-centric forms, dashboards and workflows for intuitive follow-up and maximum productivity.

  • Configure without any need for coding
  • Digital workflows with automated alerts and reminders
  • Scheduler to automate report generation and distribution
  • Customisable instruction text to guide users on how to record data

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Preconfigured content - for a turnkey launch

Optimise your risk management at the click of a button. Set up and maintain your ERM system with Marketplace: preconfigured registers, dashboards and reports.

Popular register packages for compliance management

Obligations Management

Centrally manage and gain visibility into obligations across your organisation. The Obligations Management register and dashboard help you:

  • Consolidate obligation details and link them to your risk and compliance framework

  • Ensure consistency in the data

  • Highlight priority areas that need attention such as extreme obligations and overdue reviews

  • Communicate obligations issues to executive and the board

Incident and Breach Management

This package delivers a register and dashboard to support effective incident and breach management and continual improvement.

  • Reduce the time staff spend on consistently logging incidents (both actual and near misses) and breaches

  • Identify systemic issues enabling correction

  • Communicate issues to executive and the board

  • Report on notifiable incidents and breaches

Actions Management

Gain visibility of risk and compliance management actions to ensure they are carried out by the right people and at the right time. The Actions Management register and dashboard help you:

  • Create and supervise any type of action

  • Assign owners and contributors

  • Follow-up and escalate actions

  • Identify overdue actions

Findings and Issues Management

Centrally manage your findings and issues management with a ready-made register and dashboard that help you:

  • Identify issues early in a central register

  • Record, investigate and manage issues and audit findings through to action plan

  • Understand the progress and ratings of findings and issues with graph insights

Attestations Reporting

Leverage attestations dashboards and reporting to track responses to compliance questions. Focus on potential red-flag areas with:

  • 12-month trend data

  • Overviews of negative responses or non-responses

  • Grouping by business unit, control, risk, and category

Policy Management

Supports organisations to achieve compliance, minimise risk, and lift their overall risk culture. The register and dashboard help your team:

  • Centrally record and monitor the creation and updating of policies

  • Set policy reviews

  • Communicate policy management to executives and the board

Regulator Communications

Helps you maintain visibility of communications with industry regulators, to manage timeliness and adherence to policy:

  • Track and report on both incoming requests for information and outbound communications

  • Includes a register, workflow rules and a reporting dashboard to support management and analysis

RG 78 Reportable Situations and Breaches

Helps financial institutions with an AFS and/or credit licence meet their breach reporting obligations under RG 78:

  • Centralise and consistently capture information to report a licence breach to ASIC

  • Analytics to understand the program of reportable situations and breaches

  • Report on, and drill into, subjects of reports and root causes, the status of identification and investigation of breaches, customer impact, remediation and rectification.

  • Save time and reduce risk of errors with the API integration between Protecht ERM and ASIC regulatory portal (available separately).

Compliance Obligations Scorecard and Profile Report

Allows you to effectively monitor compliance of all the regulatory obligations and activities and take action to improve their compliance posture:

  • An overall view of your organisation’s regulatory compliance posture in a single, real-time dashboard

  • Health scores for general performance and related activities in the regulatory compliance management lifecycle

  • A comprehensive Compliance Profile Report which allows you to drill into obligation insights by specific regulation or obligation topic

  • Versions available for organisations managing regulatory obligations with Lexis Nexis Regulatory Compliance, or Marketplace Obligations Management

Data Protection Impact Assessment

Helps you to quickly and easily conduct, capture and prepare DPIAs to comply with GDPR requirements:

  • Have clear overview of DPIAs and the types of data being processed, risks and remediation in relation to processing of personal data and ensure that DPIAs are regularly reviewed

  • Assess data protection risks for relevant processes when developing systems or changing systems and conducting ongoing reassessments

Notifiable Data Breaches

Helps you record and report on data breaches to the OAIC as set by the Notifiable Data Breaches scheme:

  • Central location to record incident data that can be linked to data breach notification details

  • Save time manually preparing reports to be submitted via the OAIC portal

  • Workflow rules trigger notifications to help you manage breach reporting timeframes

  • Dashboards provide insight into the time taken to identify and notify of breaches, impact to affected customers, the types of reported breaches and their root causes

Related industries

Find out how Protecht’s industry expertise can help your compliance teams meet their business requirements across our key industry verticals:

  • Banking

    Manage risk and compliance with a platform configured to empower financial services providers.

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  • Insurance

    Stay on top of regulatory requirements with real-time reporting that gives every user risk ownership.

    Learn more

  • Fintech

    Manage risk and compliance with a platform designed for rapid growth in a rapidly changing environment.

    Learn more

  • Education

    Manage risk with a platform configured to support staff, students and your business needs.

    Learn more

  • Government

    Manage risk and compliance with a platform configured to meet the needs of government entities.

    Learn more

  • Industry

    Manage your key risk needs – from compliance and vendor management through to health and safety.

    Learn more