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SAI360 Compliance Management Solution from SAI360
Monitors regulatory requirements, automates policy management and tracks compliance controls. Provides dashboards, self-assessment tools, and robust reporting for pension fund governance.
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
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Real-Time Regulatory Compliance Checks
(8 Yes /8 Known /10 Possible features)
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Automated Rule Engine A configurable engine that checks activities and transactions against current regulations. |
SAI360 advertises an automated, configurable rules engine for compliance checks (see documentation and product webpage). | |
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Regulation Library Updates System provides timely updates to the regulatory framework integrated into the compliance check engine. |
Product materials reference regulatory update automation as core to compliance monitoring. | |
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Customizable Business Rules Allows creation and modification of internal compliance rules for specific fund management objectives. |
Custom business/compliance rules are supported; platform emphasizes configurability per client needs. | |
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Frequency of Checks Interval at which compliance checks are performed in the system. |
No information available | |
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Multi-Jurisdictional Support Supports compliance monitoring across multiple regulatory jurisdictions. |
Explicit mention of global, multi-jurisdictional compliance support. | |
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Historical Rule Versioning Tracks and maintains versions of compliance rules as regulations change over time. |
Versioning of compliance policies and regulatory rules is highlighted as a feature. | |
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Granular Exception Handling Ability to set threshold-based alerts and manage exceptions at detailed levels. |
Granular thresholds, exception management offered as per documentation on exception-based workflows. | |
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Scenario Testing Simulates fund activities to test compliance with anticipated regulatory changes. |
Scenario/simulation testing included for compliance readiness assessment. | |
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Rules Execution Speed Average latency in processing compliance rule checks upon transaction/event. |
No information available | |
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Automated Regulatory Filing Support Automatically prepares and/or submits required compliance-related filings to relevant authorities. |
SAI360 supports automated report/filing generation and submission, including regulatory filings. |
Alerting and Notification
(7 Yes /7 Known /10 Possible features)
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Custom Alert Thresholds Administrators can define alert sensitivity and escalation paths. |
Custom alert thresholds, escalation options described for admin users. | |
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Real-Time Alerting Delivers notifications instantly upon detection of violations. |
Product's real-time compliance dashboard advertises instant alerting. | |
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Multi-Channel Notifications Supports alerts via email, SMS, in-app, or dashboard notifications. |
Multiple notification channels (email, dashboard, SMS) are supported. | |
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Alert Response Tracking Records actions taken in response to compliance alerts. |
Alert response workflows and tracking are integral, including response audits. | |
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Notification Time to User Average time from breach detection to notification delivery. |
No information available | |
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Escalation Matrix Support Automates escalation of unresolved or critical alerts to higher authorities. |
Escalation matrix for unresolved/critical alerts described in documentation. | |
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Alert Customization Level Degree to which alerts can be tailored by user or event type. |
No information available | |
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Mobile Notification Support Ability to push compliance alerts to mobile devices. |
Mobile alerting support available in SAI360. | |
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Comprehensive Audit of Alerts Maintains a history log of all alerts, notifications sent, and responses. |
Comprehensive audit trails for alerts and responses are included. | |
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False Positive Rate Proportion of alerts triggered incorrectly. |
No information available |
Audit Trail and Logging
(6 Yes /6 Known /9 Possible features)
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Immutable Audit Logs Logs are secured from alteration, ensuring an accurate record of compliance activities. |
Platform claims immutable audit logs, essential to audit and regulatory defense. | |
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Granularity of Logging Level of detail recorded in compliance logs. |
No information available | |
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Log Retention Policy Configuration Ability to define custom retention periods for audit trails. |
Log retention policies are configurable in SAI360. | |
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User Activity Tracking Monitors individual actions within compliance systems for accountability. |
System tracks all user activity as part of compliance controls. | |
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Timestamp Accuracy Degree of precision in log timestamps. |
No information available | |
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Export Capabilities Ability to export logs in multiple formats (CSV, JSON, PDF) for external audits. |
Reports and logs can be exported in several standard formats. | |
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Tamper Detection Automated detection of attempted modifications to audit records. |
Platform emphasizes tamper-evident/auditable logs to detect any modifications. | |
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Segregation of Duties Monitoring Tracks and enforces separation between compliance tasks to mitigate risk. |
No information available | |
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Automated Log Archiving Scheduled archiving of older audit logs for storage optimization. |
Scheduled automated log archiving options are available. |
Regulatory Reporting
(7 Yes /7 Known /9 Possible features)
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Pre-Built Regulatory Templates Offers templates for common regulatory reports required by pension fund agencies. |
Includes pre-built templates tailored for various regulatory needs. | |
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Custom Report Builder Allows bespoke report creation based on internal or emerging requirements. |
Custom report builder function is featured. | |
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Scheduled Report Generation Supports automatic report creation on predefined schedules. |
Automated and scheduled report generation supported. | |
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Regulatory Filing Formats Supported Number of supported output formats (e.g., XBRL, PDF, XML). |
No information available | |
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E-Filing Integration Direct integration with regulator e-filing portals. |
No information available | |
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Submission Error Detection Identifies and highlights possible errors or omissions prior to regulatory submission. |
Submission pre-checks/error detection are part of electronic reporting offering. | |
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Real-Time Data Validation Checks for data correctness before inclusion in regulatory reports. |
Real-time validation is performed before submission of regulatory reports. | |
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Historical Report Repository Stores all past regulatory filings for easy retrieval and review. |
Previous submissions maintained for audit/reference purposes. | |
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Automated Change Logs for Reports Maintains records of edits to regulatory reports prior to submission. |
Change logs maintained for reports (edit histories). |
Policy Management
(8 Yes /8 Known /9 Possible features)
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Central Policy Repository A centralized and secure platform for all compliance policies. |
SAI360 functions as a centralized repository for all compliance policies. | |
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Version Control Tracks changes and maintains previous versions of policies. |
Policy version history is tracked and accessible. | |
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Automated Enforcement of Policies Automatically applies internal policy rules to operational workflows. |
Automated enforcement of internal policies is a core function. | |
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Policy Acknowledgement Tracking Monitors and records acknowledgment of policy reviews by staff. |
Policy acknowledgement tracking is described for ensuring staff compliance. | |
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Policy Review Reminders Automated notifications to review and update policies periodically. |
Automated reminders for policy review/renewal are supported. | |
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Policy Coverage Scope Number of functional areas (e.g., trading, reporting, HR) governed by policies. |
No information available | |
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Role-Based Policy Access Controls access to policy documents by user roles. |
Role-based policy/document access described in permission settings. | |
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Audit Trail of Policy Changes Logs all modifications made to policies. |
Audit trails capture all policy changes and edits. | |
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Search and Retrieval Full-text search within all compliance policies. |
Full-text search across policy and compliance documents included. |
User Access & Permissions
(4 Yes /4 Known /8 Possible features)
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Role-Based Access Control Enforces permissions and restrictions based on user roles. |
User roles and access control features are a foundation of SAI360 platform. | |
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Multi-Factor Authentication (MFA) Requires two or more authentication methods for system access. |
Multi-factor authentication (MFA) listed in security documents. | |
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Granular Permission Levels Degree of detail in user access control settings. |
No information available | |
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Automated Access Reviews Schedules and manages regular reviews of access permissions. |
No information available | |
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Access Log Tracking Maintains comprehensive logs of user login and activity. |
Comprehensive user access, login activity, and audit tracking supported. | |
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Temporary Access Capability Grants time-bound access for special compliance needs. |
Temporary/expiring user permissions are configurable. | |
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Segregation of Duties Enforcement Automatically prevents assignment of incompatible roles. |
No information available | |
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Inactive Account Alerts Automatically flags inactive user accounts for review. |
No information available |
Data Security & Privacy Compliance
(7 Yes /7 Known /8 Possible features)
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Data Encryption At Rest Encrypts sensitive data stored in the system. |
Encrypts stored data at rest, per product's security overview. | |
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Data Encryption In Transit Protects data as it moves across networks. |
Data in transit is encrypted (TLS/SSL) as standard practice, per SAI360 documentation. | |
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Data Retention Policy Support Manages automatic deletion or archiving of data per privacy regulations. |
Retention policy management features for data and compliance trail. | |
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PII (Personal Identifiable Information) Detection Automatically identifies and flags storage of PII within compliance records. |
No information available | |
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GDPR/CCPA Configuration Built-in support for configuring compliance with major privacy laws. |
Includes dedicated modules for GDPR/CCPA configuration. | |
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Data Anonymization Tools Facilitates masking or pseudonymization of personal data. |
Personal data pseudonymization and anonymization tools available. | |
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Security Event Monitoring Continuous monitoring of system access and data changes for security threats. |
Continuous, automated security monitoring is part of the compliance suite. | |
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Data Breach Response Workflow Pre-defined steps and notification process in case of detected data breach. |
Product includes pre-built incident management workflows for data breaches. |
Integration & Interoperability
(4 Yes /4 Known /8 Possible features)
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API Availability Public and documented APIs for integration with third-party applications. |
SAI360 provides public/documented APIs to integrate with third-party systems. | |
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Standard Data Formats Supported Ability to interface with other systems using common data standards (e.g., CSV, XML, JSON). |
Standard data format support (CSV, XML, JSON, etc) referenced across product materials. | |
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Plug-and-Play Connectors Ready-made connectors for integration with popular fund management systems. |
No information available | |
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Batch Data Import/Export Supports bulk data exchange with external systems. |
Bulk data import/export including cross-system batch operations. | |
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Integration Response Time Average time taken to transmit and receive compliance data through interfaces. |
No information available | |
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Webhooks Supports real-time notification and integration events via webhooks. |
No information available | |
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Compliance Portal Integration Direct links to regulatory agency portals for streamlined compliance submissions. |
No information available | |
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Data Mapping Flexibility Ability to configure mapping for third-party data to internal system fields. |
Custom/complex data mapping from third-party sources documented as a supported capability. |
Dashboard & Analytics
(6 Yes /6 Known /8 Possible features)
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Customizable Dashboards Personalized dashboards per user or team. |
Highly configurable/personalized dashboards are a product selling point. | |
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Compliance KPI Tracking Visual display of key performance indicators relevant to regulatory compliance. |
Compliance KPIs visibile on dashboards. | |
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Real-Time Data Refresh Rate Frequency at which dashboard data updates. |
No information available | |
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Drill-Down Analytics Ability to click through summary violations to investigate root causes. |
Drill-down analytics available to root-cause and investigate violations. | |
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Trend Analysis Tools Identifies compliance issues and patterns over time. |
Trend analysis for compliance/fraud/risk available in the analytics suite. | |
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Custom Report Generation Ability to create bespoke analytic reports. |
Custom report creation is a key feature of dashboard analytics. | |
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Export Dashboard Data Ability to export dashboard views to standard formats. |
Exporting dashboard data to various formats is described. | |
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Dashboard Sharing Permissions Control who can view or edit dashboard data and layouts. |
No information available |
Testing, Training & Change Management
(7 Yes /7 Known /8 Possible features)
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Sandbox/Test Environment Allows new compliance rules and changes to be tested before live deployment. |
Sandbox/test environments for compliance rules are available. | |
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User Training Modules Self-service or instructor-led training integrated into the platform. |
Self-service and instructor-led user training modules form part of the package. | |
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In-App Guidance Step-by-step instructions and tooltips to help users with compliance processes. |
In-app guidance, tooltips, and wizards referenced as usability aids. | |
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Change Management Workflows Structured procedures for managing compliance-related changes. |
Change management processes and associated workflows are documented. | |
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Change Approval Workflows Multi-level approval steps required before compliance changes go live. |
Hierarchical/multi-step change/approval workflows are standard in the platform. | |
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Change Implementation Time Time taken to implement and roll out system changes. |
No information available | |
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Rule Impact Analysis Assessments on how a policy or rule change affects fund operations. |
Rule impact and change analysis modules provided to assess compliance shifts. | |
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Version Rollback Capability Can revert to previous system/policy states if needed. |
Platform accommodates rollback to previous policy/system versions if required. |
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