EPITOME MCE Compliance reduces internal costs and proactively manages the exam process with extensive process oversight
Pre-Packaged Functionality
A single solution to proactively and comprehensively manage market conduct exams (MCE) and regulatory audits to ensure compliance
- Centralized, comprehensive case view aggregates all market conduct exam documents, data, and associated tasks
- Tools to prevent bottlenecks and delays
- Real-time insight into processing inventory
- Simultaneous, secured access for multiple business groups
- Automated tracking and workflow monitoring
- Automated tickler/follow-up with escalation process
- Auditable MCE life cycle history
- Searchable repository of all current and historic exams
- Real-time dashboard, reporting, and performance management (standard and customized)
- Single user interface
Benefits
- Proactively address compliance exposures via corrective actions before they are subject to additional exams or litigation
- Capture all information for a given exam in a central case view for record retention, state reporting, litigation, and due diligence
- Minimize ongoing inquiries and exams by developing a strong compliance reputation
- Improve response times
- Reduce or eliminate duplication or conflicts in tasks, inquiry/criticism responses, and corrective actions
- Respond to the demands of state regulators in a professional and cost-effective manner
- Avoid repeat violations in follow-up exams
- Simplify monitoring and reporting for management, audit committees, and staff
- Provide ready access to exam findings and corrective actions for use in self-audits, quality reviews and Sarbanes-Oxley monitoring and reporting