Sirius Financial Systems has launched a software module to assist brokers with FSA compliance. The module is available to order now for delivery in September 2003 and is only available for use with Sirius for Broking (S4B).
The FSA software module has been developed with the assistance of independent FSA consultants to ensure that it helps brokers to meet the compliancy demands that will be placed on their businesses by FSA regulation.
Some of the key areas of the Sirius FSA software module will assist are:
* Capturing of all outgoing correspondence to prove what was sent
* Event log to record changes, together with reason why
* Ability to record summary information of telephone calls
* Document templates
* Risk screen templates
* Restricted access products based on user profile
* Data protection questions when accessing clients
* Tasks, diary and regulatory prompting
* Financial management/solvency calculation (when requirements agreed)
* Internal audit and regulatory reporting
* Complaints module.
