When potential violations arise, compliance teams need proof of supervision in action. Comply Case Management centralizes investigations, documentation, and resolution so firms can enforce policies consistently and demonstrate alignment to regulatory expectations.
- Route cases through configurable workflows, ensuring the right reviewers are involved and confidentiality is preserved
- Maintain workpapers, correspondence, and documentation in one place for quicker internal or regulatory responses
- Analyze case data to identify patterns of behavior, escalate issues, and generate reports by category or classification
