COMPLIANCE MANAGEMENT SOLUTIONS THOMSON REUTERS ACCELUS COMPLIANCE MANAGEMENT SOLUTIONS

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COMPLIANCE MANAGEMENT SOLUTIONS

THOMSON REUTERS

ACCELUS

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COMPLIANCE MANAGEMENT SOLUTIONS

DRIVE EFFECTIVE BUSINESS DECISIONS THROUGH IMPROVED COMPLIANCE RISK MANAGEMENT

In today’s rapidly changing regulatory environment, organizations need to be empowered with a solution that helps them navigate the constantly shifting rules, internal business processes, and regulatory reporting requirements.

Our Thomson Reuters Accelus™ Compliance Manager, Accelus Compliance Manager for Financial Services and Accelus Compliance Manager for Insurance solutions join up regulatory change information to organizations’ internal compliance processes. They enable organizations to track regulatory change, map and assign regulatory events to respective owners, undertake impact assessments, assign action plans, document and manage associated policies and controls, and provide reports to senior management, regulators, and the board.

These solutions help compliance executives to create stable, repeatable processes and then socialize those processes throughout the organization. This drives connected, informed decision-making by the business, which will view the compliance function as a valued partner.

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WHAT WE DO

SIMPLIFY YOUR COMPLIANCE PROCESSES FROM END-TO-END

Thomson Reuters Accelus Compliance Management Solutions empower executives to actively manage a wide range of essential activities in a more connected and structured manner.

• Connect to relevant news, analysis, rules, and regulatory developments

• Receive proactive regulatory notiﬁcations

• Engage in regulatory lifecycle tracking

• Assign event triggered e-mails to notify business owners of regulatory change

• Conduct impact assessments of regulatory events • Use event assessment forms to identify the impact each rule has on the business

• Create action plans and assign tasks to appropriate business owners

• Assign owners and workﬂows around controls within the solution

• Update controls and related documentation, stored centrally with an audit trail • Perform and capture controls testing

• Evidence compliance across business units to regulators with a full audit trail • Capture upcoming exams including details such as data required, date due, requested information

• Log inquiries from regulatory bodies or other stakeholders • Assign responsible parties for the fulﬁlment of these requests through workﬂow

• Simplify your view of the regulations that impact your organization

• Map organizational chart and relevant policies directly to regulatory rules

• Identify gaps in compliance risk management

• Connect policies to rules, policy details, and roles • Track policies have been read and understood

• Allow users to attach documents relating to policies, and link to other related rules • Upload multiple versions of policies and create a repository of historic, draft and future versions of content • Perform reviews and evaluations

• Manage resolution of issues / exceptions

• Conduct branch inspections and reviews

• Create compliance hierarchical certiﬁcations

• Ensure resolution of issues identiﬁed

• Identify overdue items, critical data, and items by status • View regulatory change as it occurs by status, region, sector, theme and level of risk • Understand how regulations relate to particular business units and the policies in place to manage compliance risk • Tackle complex change

programs around Dodd-Frank, Miﬁd, Basel III, etc.

• Send notiﬁcations, reminders, and escalations REGULATORY INTELLIGENCE MAPPED REGULATORY INVENTORY / FRAMEWORK REGULATORY CHANGE MANAGEMENT POLICY MANAGEMENT

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COMPLIANCE MANAGEMENT SOLUTIONS

CREATE A CONNECTED APPROACH TO REGULATORY CHANGE MANAGEMENT Our Accelus Compliance Manager, Accelus Compliance Manager for Financial Services, and Accelus Compliance Manager for Insurance solutions are all powered by Thomson Reuters’ award-winning Regulatory Intelligence.

Thomson Reuters’ editors, journalists, and subject matter experts have the in-depth knowledge about the regulations, legislation, and industry guidance that you need to understand, in order to take key decisions and better manage compliance risk. The team captures an average of 113 regulatory alerts daily. They follow relevant regulatory events with global coverage of more than 450 regulators and exchanges in over 60 jurisdictions. Thomson Reuters Accelus Compliance Management Solutions ensure that the right people in your organization are receiving the regulatory intelligence that is relevant for their roles.

HOW WE

WORK

COMPARE RULES AND BENCHMARK SUPERVISORY FRAMEWORKS GLOBALLY How do regulators assess how effective their rule changes are in creating a better regulated and more transparent financial services industry? Accelus Compliance Manager for Regulators provides regulators with a benchmark solution to perform rule comparisons with supervisors globally. Once regulators have identified the rules of local, and global, supervisory authorities that are most relevant to them, Accelus Compliance Manager for Regulators ensures regulatory events are delivered to the relevant supervisors for analysis. The integrated approach of the solution enables regulators to reach decisions with speed and precision on whether to add new rules or amend existing ones based on the regulatory change in other jurisdictions. Supervisors can use the assessment capabilities to formalize the review process, and regulators are provided with a complete audit trail of amendments to their rulebook.

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The Thomson Reuters team of implementation experts provides compliance organizations with a comprehensive snapshot of their baseline regulatory position across jurisdictions. For companies that need assistance developing or updating their compliance inventory, the Thomson Reuters team will work with compliance executives and in-house counsel to create an inventory of regulations relevant to the business. After completing the rigorous rule identification process, Thomson Reuters will perform a gap analysis of the organization’s internal controls by reviewing each rule in the compliance inventory and mapping them to the appropriate business unit, policy, and procedure.

COMMUNICATE THROUGH ENHANCED REPORTING CAPABILITIES

Thomson Reuters Accelus Compliance Management Solutions offer robust and configurable reporting, with four easy-to-use approaches:

• Online dashboards provide organizations with real time views of data in a graphical format, and are configurable, drillable, and the information can be exported for further reporting.

• Ad hoc reporting enables end users to render reports in HTML, Microsoft Word, or Excel formats. Report templates can be stored for re-use and may be made private or public.

• Enterprise Board Reporting combines the features and capabilities of Microsoft Word with compliance information to enable report designers to configure information. Organizations can adapt the ‘look and feel’ to match the preferred business template.

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Accelus Compliance Manager

• Establish precise relationships between regulations and internal business structures, policies, and risks • Dynamically link

regulatory events to the relevant risks, policies and controls, and communicate this to the respective business owners

• Manage and share regulatory information, risks, policies, controls, tests, and management remediation data stored in a central library • Enable data capture,

workflow and reporting to support compliance activities including: investigations, supervisory controls, filing tracking, and regulatory certifications • Document and manage

impact assessments related to the impact and applicability of regulatory events, and the required actions to be in compliance • Centralize issue management and remediation plan documentation for compliance-related processes • Increase compliance transparency with robust, configurable reporting delivered through alerts, status reports, and dashboards • Comprehensive coverage

of more than 1,000 rulebooks globally

Accelus Compliance Manager for Financial Servicess

• Use the powerful Accelus Compliance Manager for Financial Services solution for regulatory change management workflow

• Choose from Thomson Reuters Accelus Regulatory Intelligence’s selection of more than 450 financial services supervisors and exchanges

• Receive content tailored to your financial services organization’s requirements

Accelus Compliance Manager for Insurance

• Track pending and new rules, regulations, and industry guidance from over 2,000 US insurance regulatory bodies daily • Approximately 2,500

significant regulatory and legislative changes tracked and updated annually for all 50 US states and at the Federal level

• Editorial summaries of newly enacted laws, regulations, and/or insurance bulletins written by industry experts

• Access the regulatory content most relevant to you, filtered by pre-defined queries for each or all lines of insurance (P&C, A&C, L&H) • Ensure regulatory

change is acted upon quickly and managed properly through Accelus Compliance Manager for Insurance industry-specific workflow

Accelus Compliance Manager for Regulators

• Benchmark rules and regulations with those of other supervisory authorities to

understand regulatory best practices as they are evolving globally • Identify, assess, review

and report regulatory events issued by global regulators and assess whether your supervisory organization needs to add new rules, or amend existing ones

Accelus Policy Manager

• Create, edit, and share policies utilizing and evidence detail of historical and current versions of policy content • Never miss a rule

development through direct links from your compliance policies to the regulator’s rulebooks • Create roles and

responsibilities for managing and publishing your compliance manuals • Automate reports and

e-mail chasers to prompt users and assist with supervision

• Dynamically and directly connect your policies to change regulation • Access a full archive

of past policies for reference or investigations • Verify employee

acceptance of policy changes and comprehension, with the ability to evidence supervision to regulators

Accelus Regulatory Intelligence

• Coverage of more than 450 regulators, governing bodies and organizations across several jurisdictions • News, analysis, and

guidance on key regulatory themes by industry experts • Receive updates and

alerts on changes within the law at the requested frequency and summaries discussing the possible impact on your organization • Regulatory guidance

summaries provide overviews of laws and regulations by topical area

• Alerts of changes to newly enacted or existing regulations, pending legislations and regulatory changes • Compare regulations

across jurisdictions

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For more information, contact your representative

or visit us online.

Visit accelus.thomsonreuters.com

Thomson Reuters Accelus connects business transactions, strategy and operations to the ever-changing regulatory environment, enabling firms to manage business risk. A comprehensive platform supported by a range of applications and trusted regulatory and risk intelligence data, Accelus brings together market-leading solutions for governance, risk and compliance management, global regulatory intelligence, financial crime, anti-bribery and corruption, enhanced due diligence, training and e-learning, and board of director and disclosure services.

Thomson Reuters has been named as a category leader in the Chartis RiskTech Quadrant™ For Operational Risk Management Systems, category leader in the Chartis RiskTech Quadrant™ for Enterprise Governance, Risk and Compliance Systems and has been positioned by Gartner, Inc. in its Leaders Quadrant of the “Enterprise Governance, Risk and Compliance Platforms Magic Quadrant.” Thomson Reuters was also named as Operational Risk Software Provider of the Year Award in the Operational Risk and Regulation Awards 2013 and 2014.