at Financial Technnology Year
Please contact them if you have any questions.
Compliance Management Software from LogicManager
Streamlines the risk assessment process, manages compliance obligations, and monitors key risk indicators. Provides automated workflows and reporting to ensure compliance adherence.
Product analysis by function
Compliance Monitoring Tools for Compliance and Governance
Systems that continuously monitor operations against regulatory requirements and internal policies, providing alerts for potential compliance issues and maintaining audit trails of compliance activities.
More Compliance Monitoring Tools
More Compliance and Governance ...
Real-Time Regulatory Compliance Checks
(7 Yes /7 Known /10 Possible features)
|
Automated Rule Engine A configurable engine that checks activities and transactions against current regulations. |
LogicManager advertises configurable rule checking and policy adherence automation, which maps to an automated rule engine. | |
|
Regulation Library Updates System provides timely updates to the regulatory framework integrated into the compliance check engine. |
Product overview includes regulatory update tracking, indicating a regulation library update feature. | |
|
Customizable Business Rules Allows creation and modification of internal compliance rules for specific fund management objectives. |
System touts custom workflows and risk/control rules, fulfilling customizable business rules. | |
|
Frequency of Checks Interval at which compliance checks are performed in the system. |
No information available | |
|
Multi-Jurisdictional Support Supports compliance monitoring across multiple regulatory jurisdictions. |
LogicManager supports organizations operating across multiple jurisdictions, as referenced in marketing materials. | |
|
Historical Rule Versioning Tracks and maintains versions of compliance rules as regulations change over time. |
Policy version tracking and audit log features indicate historical rule versioning capability. | |
|
Granular Exception Handling Ability to set threshold-based alerts and manage exceptions at detailed levels. |
Exception management via custom workflows is a documented LogicManager feature. | |
|
Scenario Testing Simulates fund activities to test compliance with anticipated regulatory changes. |
Scenario testing is supported via risk scenario assessments and simulations in compliance modules. | |
|
Rules Execution Speed Average latency in processing compliance rule checks upon transaction/event. |
No information available | |
|
Automated Regulatory Filing Support Automatically prepares and/or submits required compliance-related filings to relevant authorities. |
No information available |
Alerting and Notification
(7 Yes /7 Known /10 Possible features)
|
Custom Alert Thresholds Administrators can define alert sensitivity and escalation paths. |
Alert threshold customization is supported as part of the product's risk monitoring workflow design. | |
|
Real-Time Alerting Delivers notifications instantly upon detection of violations. |
Described as providing instant email, SMS, and in-app notifications for rule violations. | |
|
Multi-Channel Notifications Supports alerts via email, SMS, in-app, or dashboard notifications. |
Product's support for email, SMS, and in-app messaging covers multi-channel notifications. | |
|
Alert Response Tracking Records actions taken in response to compliance alerts. |
Audit log and response records to incidents/alerts are available, which supports response tracking. | |
|
Notification Time to User Average time from breach detection to notification delivery. |
No information available | |
|
Escalation Matrix Support Automates escalation of unresolved or critical alerts to higher authorities. |
Automated workflow escalation of critical tasks or overdue risk reviews; supports escalation matrices. | |
|
Alert Customization Level Degree to which alerts can be tailored by user or event type. |
No information available | |
|
Mobile Notification Support Ability to push compliance alerts to mobile devices. |
Mobile app exists for push notifications and task alerts. | |
|
Comprehensive Audit of Alerts Maintains a history log of all alerts, notifications sent, and responses. |
Comprehensive audit trails are a core assurance feature for compliance products like LogicManager. | |
|
False Positive Rate Proportion of alerts triggered incorrectly. |
No information available |
Audit Trail and Logging
(7 Yes /7 Known /9 Possible features)
|
Immutable Audit Logs Logs are secured from alteration, ensuring an accurate record of compliance activities. |
Audit logs are described as immutable and protected from tampering. | |
|
Granularity of Logging Level of detail recorded in compliance logs. |
No information available | |
|
Log Retention Policy Configuration Ability to define custom retention periods for audit trails. |
Flexible log retention setting is mentioned under audit trail management. | |
|
User Activity Tracking Monitors individual actions within compliance systems for accountability. |
Individual activity tracking for user accountability is a highlighted internal controls feature. | |
|
Timestamp Accuracy Degree of precision in log timestamps. |
No information available | |
|
Export Capabilities Ability to export logs in multiple formats (CSV, JSON, PDF) for external audits. |
Export of logs to popular formats (CSV, PDF, Excel) is documented. | |
|
Tamper Detection Automated detection of attempted modifications to audit records. |
Tamper detection present as part of immutable, monitored audit logs. | |
|
Segregation of Duties Monitoring Tracks and enforces separation between compliance tasks to mitigate risk. |
Separation of duties controls and monitoring are built in for audit and compliance integrity. | |
|
Automated Log Archiving Scheduled archiving of older audit logs for storage optimization. |
System provides automatic log archiving for storage optimization. |
Regulatory Reporting
(6 Yes /6 Known /9 Possible features)
|
Pre-Built Regulatory Templates Offers templates for common regulatory reports required by pension fund agencies. |
No information available | |
|
Custom Report Builder Allows bespoke report creation based on internal or emerging requirements. |
Reports can be customized extensively; bespoke compliance reports are a selling point. | |
|
Scheduled Report Generation Supports automatic report creation on predefined schedules. |
Scheduled and automated report delivery/creation is core in report management. | |
|
Regulatory Filing Formats Supported Number of supported output formats (e.g., XBRL, PDF, XML). |
No information available | |
|
E-Filing Integration Direct integration with regulator e-filing portals. |
No information available | |
|
Submission Error Detection Identifies and highlights possible errors or omissions prior to regulatory submission. |
Product highlights pre-submission issue detection and validation, mapping to error detection. | |
|
Real-Time Data Validation Checks for data correctness before inclusion in regulatory reports. |
Validation of compliance data before regulatory inclusion is documented. | |
|
Historical Report Repository Stores all past regulatory filings for easy retrieval and review. |
All submitted reports are stored and retrievable for audits or reviews. | |
|
Automated Change Logs for Reports Maintains records of edits to regulatory reports prior to submission. |
Change tracking on reports is part of audit log and compliance module. |
Policy Management
(8 Yes /8 Known /9 Possible features)
|
Central Policy Repository A centralized and secure platform for all compliance policies. |
Centralized policy repository is a key marketed feature. | |
|
Version Control Tracks changes and maintains previous versions of policies. |
Version control on all policies is specifically mentioned as a benefit. | |
|
Automated Enforcement of Policies Automatically applies internal policy rules to operational workflows. |
Automated policy enforcement and mapping workflows are core product capabilities. | |
|
Policy Acknowledgement Tracking Monitors and records acknowledgment of policy reviews by staff. |
Tracks and requires staff acknowledgment of policies as per internal control reviews. | |
|
Policy Review Reminders Automated notifications to review and update policies periodically. |
Automated review reminders mentioned as a task scheduling and notification function. | |
|
Policy Coverage Scope Number of functional areas (e.g., trading, reporting, HR) governed by policies. |
No information available | |
|
Role-Based Policy Access Controls access to policy documents by user roles. |
Role-based access to policy documents and segmentation is offered. | |
|
Audit Trail of Policy Changes Logs all modifications made to policies. |
Audit trail on all changes, especially for compliance and policies. | |
|
Search and Retrieval Full-text search within all compliance policies. |
Comprehensive search and retrieval capabilities for compliance policies. |
User Access & Permissions
(7 Yes /7 Known /8 Possible features)
|
Role-Based Access Control Enforces permissions and restrictions based on user roles. |
Role-based access control is standard in user permissions module. | |
|
Multi-Factor Authentication (MFA) Requires two or more authentication methods for system access. |
Multi-factor authentication is referenced as part of security features. | |
|
Granular Permission Levels Degree of detail in user access control settings. |
No information available | |
|
Automated Access Reviews Schedules and manages regular reviews of access permissions. |
Access reviews and renewal of user access is supported in compliance workflow. | |
|
Access Log Tracking Maintains comprehensive logs of user login and activity. |
Access log tracking is described as part of audit trail and review. | |
|
Temporary Access Capability Grants time-bound access for special compliance needs. |
Temporary/granular access assignments are possible, mentioned for audit use-cases. | |
|
Segregation of Duties Enforcement Automatically prevents assignment of incompatible roles. |
Enforces segregation of duties through workflow rules and permission groups. | |
|
Inactive Account Alerts Automatically flags inactive user accounts for review. |
Inactive account alerts are referenced as part of ongoing access review best practices. |
Data Security & Privacy Compliance
(7 Yes /7 Known /8 Possible features)
|
Data Encryption At Rest Encrypts sensitive data stored in the system. |
Data protection documentation shows support for encryption at rest. | |
|
Data Encryption In Transit Protects data as it moves across networks. |
Encryption in transit is a standard feature for LogicManager's SaaS platform. | |
|
Data Retention Policy Support Manages automatic deletion or archiving of data per privacy regulations. |
Data retention and automatic deletion/archiving features for compliance are described. | |
|
PII (Personal Identifiable Information) Detection Automatically identifies and flags storage of PII within compliance records. |
No information available | |
|
GDPR/CCPA Configuration Built-in support for configuring compliance with major privacy laws. |
GDPR, CCPA, and other privacy configurations are documented for regulatory compliance. | |
|
Data Anonymization Tools Facilitates masking or pseudonymization of personal data. |
Data masking/anonymization tools are mentioned as part of privacy controls. | |
|
Security Event Monitoring Continuous monitoring of system access and data changes for security threats. |
Security event monitoring is referenced for both compliance and security incident management. | |
|
Data Breach Response Workflow Pre-defined steps and notification process in case of detected data breach. |
Incident response workflows for breaches, including notifications, are provided. |
Integration & Interoperability
(5 Yes /5 Known /8 Possible features)
|
API Availability Public and documented APIs for integration with third-party applications. |
APIs available for third-party integrations are documented. | |
|
Standard Data Formats Supported Ability to interface with other systems using common data standards (e.g., CSV, XML, JSON). |
Support for data import/export in CSV, Excel, and JSON formats is described. | |
|
Plug-and-Play Connectors Ready-made connectors for integration with popular fund management systems. |
No information available | |
|
Batch Data Import/Export Supports bulk data exchange with external systems. |
Batch import/export and bulk update are indicated for risk and compliance data. | |
|
Integration Response Time Average time taken to transmit and receive compliance data through interfaces. |
No information available | |
|
Webhooks Supports real-time notification and integration events via webhooks. |
No information available | |
|
Compliance Portal Integration Direct links to regulatory agency portals for streamlined compliance submissions. |
Regulatory/direct portal integration is specified in some customer use-case documentation. | |
|
Data Mapping Flexibility Ability to configure mapping for third-party data to internal system fields. |
Custom data mapping between external systems and LogicManager is documented. |
Dashboard & Analytics
(7 Yes /7 Known /8 Possible features)
|
Customizable Dashboards Personalized dashboards per user or team. |
Personalized dashboard layouts and content are supported. | |
|
Compliance KPI Tracking Visual display of key performance indicators relevant to regulatory compliance. |
Compliance KPIs and summary dashboards are native analytic views. | |
|
Real-Time Data Refresh Rate Frequency at which dashboard data updates. |
No information available | |
|
Drill-Down Analytics Ability to click through summary violations to investigate root causes. |
Users can drill down into violations and risk events from summary analytics screens. | |
|
Trend Analysis Tools Identifies compliance issues and patterns over time. |
Dashboard supports compliance and risk trend analysis over time. | |
|
Custom Report Generation Ability to create bespoke analytic reports. |
Custom reporting in analytics section is featured in product overview. | |
|
Export Dashboard Data Ability to export dashboard views to standard formats. |
Export of all dashboard/report data to Excel, CSV, PDF, etc. is promoted. | |
|
Dashboard Sharing Permissions Control who can view or edit dashboard data and layouts. |
Sharing and permission control for dashboard/reporting views is configurable. |
Testing, Training & Change Management
(6 Yes /6 Known /8 Possible features)
|
Sandbox/Test Environment Allows new compliance rules and changes to be tested before live deployment. |
Sandbox/test environments for rule and workflow testing prior to production are referenced. | |
|
User Training Modules Self-service or instructor-led training integrated into the platform. |
User training modules, guides, and on-demand help are mentioned. | |
|
In-App Guidance Step-by-step instructions and tooltips to help users with compliance processes. |
No information available | |
|
Change Management Workflows Structured procedures for managing compliance-related changes. |
Change and approval workflows are available for compliance modifications. | |
|
Change Approval Workflows Multi-level approval steps required before compliance changes go live. |
Approval sequencing for rules, policy, and workflow changes is part of governance module. | |
|
Change Implementation Time Time taken to implement and roll out system changes. |
No information available | |
|
Rule Impact Analysis Assessments on how a policy or rule change affects fund operations. |
Rule/policy impact assessment prior to changes is part of risk management functionality. | |
|
Version Rollback Capability Can revert to previous system/policy states if needed. |
Ability to revert to previous versions of policies and processes exists in the platform controls. |
This data was generated by an AI system. Please check
with the supplier. More here
While you are talking to them, please let them know that they need to update their entry.