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+

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Corporate registry

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Location registry

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Staff registry

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Gift and entertainment log

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Co-op marketing log

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Complaint and incident log

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Compliance calendar

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Registration management

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Continuing education management

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Secured messaging

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Personal trading

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Supervision reporting

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Attestation management

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Capability/Feature

VCSOpen

VCSOpen+

Corporate registry

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Location registry

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Staff registry

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Gift and entertainment log

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Co-op marketing log

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Complaint and incident log

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Compliance calendar

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Registration management

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Continuing education management

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Secured messaging

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Personal trading

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Supervision reporting

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Attestation management

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Available for additional fee Can be bought as separate program

VCSPro

Staff risk scoring algo

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Integration with other data sets to build 3600 review

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Build your own risk scoring algo

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Drill down assessment of staff location and company

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