RegTech

etac (EPICTec automated compliance) is a software application focused on the process digitalisation in the financial industry. Its primary aim is the automation and streamlining of business processes, error minimisation and measurable quality improvement as well as cost reductions. Tedious manual work can be significantly reduced and people can focus on value-adding tasks. etac will assure seamless investment compliance monitoring and reporting also in case of a change of the source system. At the moment, etac helps its customers to efficiently fulfill regulatory requirements in investment compliance and optimises the collaboration with external auditors. The application has a modular architecture and the main modules are:

• Investment Compliance Monitoring: monitoring and tracking of IC-breaches supported by AI, anomaly detection, automated workflows (i.e. escalation process), external auditor functionality
• Investment Policy Management: assure completeness of portfolios, rule definitions and rules for IC Monitoring. Keep complete track of all changes.
• Rule Library: provides real-time overview of the status of rule definitions, ensuring audit-compliant test documentation
• Risk Monitoring: monitoring of fixed or variable risk indicators, e.g. fund floor price limit (“Wertuntergrenze”)
• Investment Compliance Migration Management: tackle specific project oriented tasks in case of an implementation or migration of source systems such as accounting or portfolio management systems
• Business Process Engineering: BPMN (Business Process Model and Notation) functionality that supports the development, optimisation, implementation, and the actual practical use of lean business processes for investment controlling, fund business and other applications. Process and data is stored in one system, making your processes more efficient, stable as well as audit-proof and saving you countless excel files and lists.