CUE Compliance

CUE Compliance includes compliance registers that can be customised for your organisational needs. The module natively integrates with the other modules of the CUE Ecosystem

CUE Compliance is a natural progression from CUE Risk, Incidents, and Outsourcing, while maintaining its independence. This integration ensures relevance and effectiveness, while the independence preserves objectivity and impartiality. Together, they provide a comprehensive and balanced approach to managing compliance within the organization.

Prebuilt Master Registers as guidance

CUE Compliance offers prebuilt master registers that can be used turnkey or as guidance to create custom registers for your organization. These registers are updated quarterly to stay relevant and reflect the changing business and regulatory environment. The prebuilt registers include Part IV, Liquidity, DORA, and many more, ensuring comprehensive coverage of compliance needs.

Integrations, logs and reminders

CUE Compliance integrates seamlessly with other CUE modules, ensuring alignment with organizational realities. Every action is logged, providing a full audit trail of tests and mitigation effectiveness. It also integrates with Microsoft Planner, allowing efficient allocation of work across the organization. This comprehensive approach ensures thorough compliance management and effective tracking of all activities.

Oversight and Reporting

CUE Compliance understands that effective testing requires multiple people working towards the same goal, while maintaining oversight on the quality and effectiveness of the tests. The module decentralizes work, reporting in a unified manner, creating effective oversight of the firm's compliance stance. The Compliance Officer can maintain oversight by approving tests, ensuring reliable compliance management and reporting.

The Technology

The CUE Ecosystem, which includes CUE Risk, Incidents and Changes is developed using the technology stack powered by the Microsoft Power Platform. Although the application is developed by SolutionOut, it resides within the client organization’s environment, adhering to the specific security and access protocols defined by the client. Consequently, any modifications to the security posture of the client’s Microsoft 365 or IT environment will also apply to the CUE Ecosystem. This arrangement grants the client more granular control over the security of their environment.

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Frequently Asked Questions (FAQs)

What features does the compliance module offer?

The compliance module integrates with CUE incidents and Changes, CUE Tasks, CUE Risk and CUE Outsourcing providing effective insights across these modules. The CUE Compliance module has inbuilt audit trails and automated reminders and notifications to ensure effective usage. CUE compliance also provides a master register of prebuilt compliance questions which can be customised by individual Organisations.

How does the compliance module help with regulatory reporting?

CUE Compliance module monitors the non-compliant areas and provide reminders to users through emails and team messages. The module has an exhaustive reporting module that compiles the statuses of questions into a required reporting format.

Can the compliance module be customized for different financial regulations?

Yes, in addition to the pre-built compliance questionnaire for some critical regulations like Part IV, Liquidity, Obligations etc, the compliance module can be tailored to meet specific regulatory requirements of various financial jurisdictions, ensuring comprehensive compliance.

Who can access the compliance module?

Access is role-based, allowing Risk Managers, Compliance Managers, Operational Resilience Managers, and Administrators to use the module effectively, with appropriate training provided for each role.

Is training available for using the compliance module?

Absolutely! Training is provided either in person or online, and can be conducted by the product team or trained superusers within your organisation, ensuring all staff are proficient in using the module.

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