Solutions

Support Compliance Culture

VigilantCS offers a compliance lifecycle solution for highly regulated industries including the Canadian Securities (IIROC, MFDA and securities commission) and Life and Health Insurance industry – that enable cost-effective compliance and provide improved controls and analytics to reduce staff conduct risk. Our unique solutions:

decrease costs
deliver tangible business insights
foster an enhanced compliance culture
improve regulatory compliance and risk mitigation

VCS (RCM)

Manage Regulatory Requirements

Evidence Compliance:

Inventory regulatory requirements
Assign accountability
Inventory controls
Test controls

VCSOpen+

Operationalize Controls

Build Individual Compliance files:

Role sensitivity
Conditions
Disclosures
Training
Incident logging
Calendar

VCSPro

Measure Risk & Generate Dynamic Reports

Understand Compliance Culture:

Conduct Risk Score
Insider Risk Score
Remote work score
Risk-Return Report
Individual - Entity Reporting

VCS Solutions – Capabilities & Features Summary

VigilantCS is an innovative producer of proprietary digital platforms that cost-effectively manage and monitor conduct risk and staff-level compliance. VigilantCS offers three unique solutions.

VCSOpen & VCSOpen+

- Cost-effective compliance
- Improved controls and analytics
- Reduces staff conduct risk

VCSPro

- Behavioural algo and analytics platform
- Driven by insights from FINRA, SEC datasets, in-depth conduct risk research

VCSOpen

VCSOpen+

Corporate registry

Location registry

Staff registry

Gift and entertainment log

Co-op marketing log

Complaint and incident log

Compliance calendar

Registration management

Continuing education management

Secured messaging

Personal trading

Supervision reporting

Attestation management

Capability/Feature