COMPLIANCE OPS & DDQs
Streamline Your Due Diligence
Improve due diligence processes with automated DDQ collection, risk scoring, alerts, and a complete document repository instead of spending valuable time and resources trying to stay ahead of reviews. Use Castine’s “Universal DDQ” forms, industry DDQs, or your own for KYC, KYV, cyber, research reviews, trading counterparties, sub-advisors and distributors, and even employee attestations. Everything you need is in one place and easy to find and follow-up on. Demonstrates your commitment to regulatory requirements for vendor due diligence and precautions against the misuse of material non-public information (MNPI). Supports approval workflow, interviews, checklist management, research samples, license tracking, and interfacing with workflow products such as Atlassian and Service Now.
Give Your Team the Tools They Need
Your team needs powerful tools to keep ahead of powerful issues. Go beyond a simple calendar to a unified, team-wide system that tracks all of your compliance tasks, how they’re related, and who’s helping to get things done. Complete delegation management, past due alerts, and sophisticated scheduling keeps everyone on the same page. Linking to policies and procedures and adding in tracking for gifts and entertainment, meetings and ESG commitments, political contributions, DDQs and risk scoring, and trade errors and you have a system that every compliance group can benefit from.