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SAS Risk Management for Banking from SAS

SAS provides an integrated solution for credit, market, and operational risk management, featuring predictive analytics, regulatory compliance support, and comprehensive reporting capabilities.

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Product analysis by function

Regulatory Compliance Systems for Risk & Compliance

Platforms that track regulatory requirements, manage compliance workflows, and document adherence to various financial regulations such as UCITS, AIFMD, MiFID II, SEC rules, and other jurisdictional requirements.
More Regulatory Compliance Systems More Risk & Compliance ...

Core Compliance Monitoring
(7 Yes /7 Known /10 Possible features)

Reporting & Documentation
(0 Yes /0 Known /10 Possible features)

Data Integration & Management
(5 Yes /5 Known /10 Possible features)

User & Workflow Management
(1 Yes /1 Known /10 Possible features)

Regulatory Change Management
(2 Yes /2 Known /10 Possible features)

Risk Assessment & Management
(4 Yes /4 Known /10 Possible features)

Surveillance & Transaction Monitoring
(4 Yes /4 Known /10 Possible features)

Integration & Connectivity
(0 Yes /0 Known /10 Possible features)

Usability & User Experience
(3 Yes /3 Known /10 Possible features)

Security & Privacy
(4 Yes /4 Known /10 Possible features)

Scalability & Performance
(3 Yes /3 Known /10 Possible features)

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Automated Rule Monitoring Automated checks of fund operations against current regulatory rules.		SAS Risk Management for Banking describes automated regulatory rule monitoring as part of its core compliance tools.
Audit Trail Generation Maintains comprehensive logs of all compliance activities and policy changes.		SAS advertises a full audit trail of compliance activities and policy changes, crucial for regulatory oversight.
Real-Time Alerts Notifies users instantly when potential compliance breaches occur.		Product documentation highlights real-time alerts for compliance issues and breaches.
Custom Rule Configuration Allows creation and maintenance of firm-specific rules in addition to regulatory ones.		Enables custom rule creation and editing for bank- and regulation-specific requirements (see feature matrix on SAS website).
Pre-Trade Compliance Checks Verifies trade compliance prior to execution.		SAS supports pre-trade compliance checks as part of its real-time transaction monitoring features.
Post-Trade Compliance Checks Analyzes executed trades for post-factum regulatory compliance.		Post-trade compliance is included in trade monitoring and post-execution analytics in SAS offer.
Regulatory Change Updates System is updated with changes and interpretations of relevant regulations.		The solution is updated for new regulatory regimes (e.g., Basel IV, IFRS 9), evidencing regulatory update processes.
Violation Escalation Workflow Automated workflows for managing responses to potential or actual compliance violations.		No information available
Exception Management Tools for identifying, documenting, and resolving compliance exceptions.		No information available
Compliance Dashboard Centralized dashboard summarizing current compliance status and outstanding issues.		No information available

Automated Regulatory Reporting Generates and files reports required by relevant authorities (e.g., SEC, ESMA, FCA).		No information available
Custom Report Generation Flexible tools to create reports tailored to internal or external stakeholder needs.		No information available
Scheduled Reporting Automated scheduling and delivery of reports.		No information available
Document Archiving Secure and searchable storage of compliance documents and evidence.		No information available
Self-Service Reporting Allows end-users to generate and customize reports without IT involvement.		No information available
Audit-Ready Documentation Organizes and formats documentation for easy retrieval during audits.		No information available
Data Export Exports data in a variety of industry-standard formats (e.g., CSV, XML, XBRL).		No information available
Workflow Audit Logs Preserves historical records of reporting activities and user access.		No information available
Customizable Permissions Access to reports and documents controlled by user roles.		No information available
Regulation-Specific Templates Pre-built reporting templates for key regulations (AIFMD, Form PF, MiFID II, etc).		No information available

Multi-Source Data Feeds Integrates with custodians, trading systems, market data, and third-party risk services.		SAS Risk Management integrates with custodians, core banking, trading, market data, and third-party data for risk/compliance.
Data Normalization Transforms disparate data sets into a common format for analysis.		No information available
Real-Time Data Processing Processes incoming data in near real time for the most current insights.		Real-time data processing mentioned in solution overview (risk aggregation and insights on demand).
Data Quality Checks Validates incoming data for completeness and accuracy before use.		No information available
Automated Data Reconciliation Cross-checks transaction and position records to spot discrepancies.		No information available
Bulk Data Upload Supports batch imports for large data sets (e.g., historical records).		No information available
API Connectivity Modern API support for seamless integration with other applications.		Modern API connectivity is referenced for system interoperability and integration capabilities.
Flexible File Import/Export Handles multiple file types for interoperability with legacy systems.		No information available
Data Encryption in Transit Ensures sensitive compliance data is encrypted during network transfers.		Data encryption in transit is standard for SAS Cloud and is referenced in compliance/SOC documentation.
Data Encryption at Rest Securely encrypts stored regulatory and compliance information.		Data encryption at rest included through SAS Security framework.

Role-Based Access Control Assigns user permissions based on job function or seniority.		Role-based access control, a key enterprise security feature, is part of user management in SAS.
Multi-Factor Authentication Layered security for user login and system access.		No information available
User Activity Monitoring Tracks and audits user activity to prevent unauthorized changes.		No information available
Workflow Automation Automates routine compliance tasks and approval processes.		No information available
Delegation & Escalation Automated reassignment of tasks due to absence or escalation due to time-sensitive issues.		No information available
Task Notifications Automated alerts and to-do reminders for compliance staff.		No information available
Bulk User Management Efficient onboarding/offboarding and permissions management for multiple users.		No information available
Custom Workflow Builder Admins can configure or adapt workflow steps to fit internal compliance procedures.		No information available
SLA Tracking Monitors task turnaround against internal and regulatory deadlines.		No information available
User Audit Trail Logs all actions taken by users for compliance and internal review.		No information available

Regulatory News Feed Automatically imports latest regulatory updates from trusted sources.		No information available
Impact Assessment Tools Maps regulatory changes to impacted policies, controls, and business lines.		Impact assessment tools for regulatory changes are referenced as part of regulatory change management modules.
Change Task Assignment Creates and assigns tasks related to implementing regulatory changes.		No information available
Policy Update Workflow Managed workflows for revising and approving compliance policies.		No information available
Version Control Tracks changes to compliance manuals and regulatory documents.		Version control on policy and compliance documentation is listed as a supported feature.
Change Communication Automated alerts and updates to all users affected by policy changes.		No information available
Regulator Correspondence Tracking Stores and manages communication with regulators regarding rule changes.		No information available
Gap Analysis Tools Identifies and analyzes areas where current processes may be non-compliant with new regulations.		No information available
Automatic Rulebase Update System automatically updates compliance monitoring based on regulatory changes.		No information available
Regulatory Calendar Timelines for key regulatory change deadlines and milestones.		No information available

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Financial Technology Year

SAS Risk Management for Banking from SAS

Product analysis by function

Regulatory Compliance Systems for Risk & Compliance

Core Compliance Monitoring
(7 Yes /7 Known /10 Possible features)

Reporting & Documentation
(0 Yes /0 Known /10 Possible features)

Data Integration & Management
(5 Yes /5 Known /10 Possible features)

User & Workflow Management
(1 Yes /1 Known /10 Possible features)

Regulatory Change Management
(2 Yes /2 Known /10 Possible features)

Risk Assessment & Management
(4 Yes /4 Known /10 Possible features)

Surveillance & Transaction Monitoring
(4 Yes /4 Known /10 Possible features)

Integration & Connectivity
(0 Yes /0 Known /10 Possible features)

Usability & User Experience
(3 Yes /3 Known /10 Possible features)

Security & Privacy
(4 Yes /4 Known /10 Possible features)

Scalability & Performance
(3 Yes /3 Known /10 Possible features)

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Risk Scoring Engine Calculates risk scores based on current regulatory and operational exposure.		Risk scoring is a core element of the SAS banking solution (see 'Risk scoring engine and scenario models' in product literature).
Risk Heatmaps Visualizes areas of highest compliance and operational risk.		Risk heatmaps are shown as graphical outputs in risk dashboards and analytics examples.
Scenario Analysis Assesses impact of hypothetical compliance breaches or regulatory changes.		Scenario analysis functionality for stress testing and what-if analysis is highlighted for regulatory compliance.
KRI Monitoring Tracks Key Risk Indicators defined within the risk management framework.		No information available
Automated Risk Mitigation Reminders Notifies responsible parties of required mitigation activities.		No information available
Incident & Loss Event Logging Captures details of compliance or operational risk events and remediation.		Incident and loss event logging is incorporated in operational risk management workflows.
Risk Control Library Central repository for standard controls and their effectiveness assessments.		No information available
Linkage of Controls to Regulations Maps internal controls to regulatory obligations for better gap detection.		No information available
Risk Mitigation Workflow Structured processes for investigating and closing out identified risks.		No information available
Periodic Risk Review Scheduling Plans recurring reviews and updates to risk assessments.		No information available

Trade Surveillance Monitors trades for potential market abuse, manipulation, or limit breaches.		Trade surveillance for market abuse and limit monitoring is part of SAS Capital Markets and Compliance modules.
AML Screening Automated screening for Anti-Money Laundering (AML) flags in fund flows and counterparties.		Anti-money laundering (AML) screening is part of the SAS Financial Crimes solution set, integrated into compliance.
Watchlist & PEP Screening Cross-checks parties against global watchlists and Politically Exposed Person (PEP) databases.		Watchlist and PEP screening also described under SAS AML and compliance workflow documentation.
Insider Trading Detection Identifies patterns and suspicious activity suggesting insider trading.		No information available
Employee Personal Trading Monitoring Tracks and reviews personal trades by relevant employees for policy compliance.		No information available
Threshold and Limit Monitoring Flags trades and positions exceeding predefined compliance limits.		No information available
Pattern Recognition Machine-learning based detection of unusual or anomalous patterns in transactions.		No information available
Counterparty Risk Assessment Evaluates compliance risks associated with trade counterparties.		No information available
Transaction Velocity Monitoring Tracks frequency and volume of transactions.		No information available
Surveillance Rule Customization Allows user customization of surveillance scenarios and thresholds.		Surveillance rule customization: user-defined thresholds/scenarios are core to configurable compliance engine.

Portfolio Management System Integration Seamless data import/export with PMS, OMS, or accounting platforms.		No information available
Custodian and Prime Broker Integration Direct data feeds from banks and prime brokers for up-to-date positions and transactions.		No information available
Regulator Portal Submission Direct, automated submission to regulatory portals (e.g., SEC EDGAR).		No information available
Third-Party API Support Robust API ecosystem for integration with regtech or analytics tools.		No information available
SFTP/FTP Data Transfer Secure file transfer for batch data loads and reporting.		No information available
Single Sign-On (SSO) Integration with enterprise SSO solutions for seamless authentication.		No information available
Webhook Support Real-time notifications and data pushes to other applications.		No information available
Message Queue Connectivity Support for message queue protocols (e.g., Kafka, RabbitMQ) for large-scale events.		No information available
RESTful & SOAP APIs Modern and legacy API protocol support.		No information available
Custom Integration Development Toolkit SDK and documentation for developing custom system connectors.		No information available

Intuitive User Interface Modern UI simplifies complex compliance scenarios for all users.		SAS advertises a modern user interface for risk and compliance, focusing on visualization and usability.
Responsive Design Works across desktop, tablet, and mobile devices.		No information available
Customizable Dashboards Users can tailor home screens to their functional requirements.		Customizable dashboards are a typical feature in SAS's enterprise risk suite.
Search & Filter Functionality Powerful search and filtering for large compliance datasets.		Search and filter functions are basic UI/UX standards in SAS web interfaces.
Role-Based Views Interface elements visible or hidden according to user role.		No information available
Localization & Multilingual Support Usable by global teams in multiple languages.		No information available
Help & Training Resources Contextual help, tutorials, and user guides built into the application.		No information available
Onboarding Wizard Guided setup process for new users or teams.		No information available
Accessibility Features Support for WCAG, screen readers, and keyboard navigation.		No information available
Feedback & Support Ticketing Easy method to report issues and request enhancements.		No information available

Data Encryption (At Rest and In Transit) AES, TLS, or equivalent encryption for compliance datasets.		Explicit reference to AES/TLS encryption (at rest/in transit) in SAS solution security documentation.
Granular Access Controls Permissions at data, action, and record levels.		No information available
Audit Logging Immutable logs of all system activity.		Audit logging (immutable) forms part of regulatory and internal oversight in SAS's platform.
Security Incident Notification Alert system for detected security breaches.		Security incident notification is described in incident and breach response plans in SAS cloud publications.
Data Retention Controls Configurable settings for how long sensitive information is stored.		No information available
GDPR/CCPA Compliance Tools Mechanisms to support global data privacy regulations.		SAS provides GDPR/CCPA support via data subject access requests and privacy compliance tooling.
User Authentication Options Choice of password, token, or biometric login.		No information available
Penetration Testing Certification Third-party security testing on a regular basis.		No information available
Advanced Threat Detection AI or signature-based recognition of malicious activity.		No information available
Data Masking Hides sensitive data when not absolutely necessary for user role.		No information available

Concurrent User Support Handles simultaneous logins and usage by multiple compliance staff.		No information available
Response Time Average system response time under maximum load conditions.		No information available
High-Volume Data Processing Capable of ingesting and analyzing large sets of transactional data.		No information available
Elastic Storage Scaling Automatic increase in storage allocation as data grows.		Elastic storage scaling offered natively in SAS Cloud and referenced in hybrid deployment whitepapers.
Load Balancing Distributes workload efficiently across servers.		No information available
Disaster Recovery Ability to recover compliance data and settings after critical failure.		Disaster recovery (including geo-redundancy) mentioned in information security documentation for SAS Cloud and enterprise deployments.
Cloud and On-Premise Support Supports both deployment models, as needed by the organization.		Cloud and on-premise deployment models are both available as per SAS solution datasheets.
Scheduled Downtime Notifications Advanced notice and minimal disruption during system maintenance.		No information available
Redundancy & Failover Backup mechanisms to maintain service during system outages.		No information available
Uptime Guarantee SLA-based assurance of system availability.		No information available

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Financial Technology Year

SAS Risk Management for Banking from SAS

Product analysis by function

Regulatory Compliance Systems for Risk & Compliance

Core Compliance Monitoring (7 Yes /7 Known /10 Possible features)

Reporting & Documentation (0 Yes /0 Known /10 Possible features)

Data Integration & Management (5 Yes /5 Known /10 Possible features)

User & Workflow Management (1 Yes /1 Known /10 Possible features)

Regulatory Change Management (2 Yes /2 Known /10 Possible features)

Risk Assessment & Management (4 Yes /4 Known /10 Possible features)

Surveillance & Transaction Monitoring (4 Yes /4 Known /10 Possible features)

Integration & Connectivity (0 Yes /0 Known /10 Possible features)

Usability & User Experience (3 Yes /3 Known /10 Possible features)

Security & Privacy (4 Yes /4 Known /10 Possible features)

Scalability & Performance (3 Yes /3 Known /10 Possible features)

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Core Compliance Monitoring
(7 Yes /7 Known /10 Possible features)

Reporting & Documentation
(0 Yes /0 Known /10 Possible features)

Data Integration & Management
(5 Yes /5 Known /10 Possible features)

User & Workflow Management
(1 Yes /1 Known /10 Possible features)

Regulatory Change Management
(2 Yes /2 Known /10 Possible features)

Risk Assessment & Management
(4 Yes /4 Known /10 Possible features)

Surveillance & Transaction Monitoring
(4 Yes /4 Known /10 Possible features)

Integration & Connectivity
(0 Yes /0 Known /10 Possible features)

Usability & User Experience
(3 Yes /3 Known /10 Possible features)

Security & Privacy
(4 Yes /4 Known /10 Possible features)

Scalability & Performance
(3 Yes /3 Known /10 Possible features)