SCALE: Navigating Regulatory Themes and Requirements

Nature 💠 Scale 💠 Complexity 💠 Precision

The scale of Regulatory requirements and an increasing focus on enforcement is driving a shift to an enterprise-wide approach to Compliance.

The approach most Regulated Entities take when completing an Impact Assessment is aligned to the legal form of the requirements.

It is a thematic approach to demonstrate that the business is compliant with GDPR, MiFID, AIFMD, AML, CP86, DORA etc.

The development of Regulatory Technology (RegTech) solutions has as a result been Thematic – an App for every Regulation.

This results in a misalignment with the needs of the business.

What Regulated businesses really want are solutions aligned with their end-to-end operating lifecycle.

The first step in an approach that is aligned to the operating lifecycle involves designing out the duplication that exists within Regulatory requirements.

Compliance by Design is a process centric approach that involves cross referencing every Regulatory obligations to the processes you follow to run your business.

Your focus shifts to the automation of business processes which include all Regulatory obligations.