Axiol Compliance 

Compliance Management - Simplified

Axiol Compliance brings your day-to-day compliance work into one secure, no-code platform. Manage employee requests, monitor activity and evidence your controls, all tailored to your firm’s regulatory requirements and business model.

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✔  Centralise Compliance Tasks. One hub for requests, registers, approvals and evidence.

✔  Streamline Data & Reporting. Clear, consistent management information (MI) for senior managers and the board.

✔  Automate Controls & Alerts. Workflows, reminders and a clear regulatory audit trail.

Our Compliance Modules

Choose the modules you need and add more as your firm grows.

Gifts & Hospitality

Monitor, approve, and report employee gifts and hospitality.

  • Configurable approval workflows

  • Policy-driven thresholds and escalation rules

  • Centralised log with full audit trail

  • Reporting for regulators and internal oversight

Personal Account Dealing

Monitor employee trading activity against policy and regulation.

  • Pre-clearance workflows for trades

  • Broker feed integration (optional)

  • Automated checks for restricted securities

  • Audit-ready records for regulators

Incidents and Breaches

Capture and manage compliance events effectively.

  • Centralised incident logging

  • Root cause analysis and remediation workflows

  • Escalation tracking and closure reporting

  • Full audit trail for accountability

Suspicious Activity Reports (SARs)

Submit and manage financial crime reports with confidence.

  • Capture SAR data securely in a structured workflow

  • Escalation routing and approval management

  • Maintain evidence for regulators

  • Automated reporting packs for senior management

Suspicious Transaction & Order Reporting (STORs)

Ensure compliance with market abuse reporting obligations.

  • Structured STOR submission templates

  • Escalation and case management workflows

  • Audit-ready logs for regulators

  • Integration with risk assessments for oversight

Regulatory Filings Calendar

Keep on top of complex regulatory submissions.

  • Centralised register of filing obligations

  • Automated reminders and ownership allocation

  • Status tracking and approval workflows

  • Submission evidence stored in one place

And More. Every organisation faces unique compliance challenges. Axiol can deliver tailored modules and workflows that extend the platform to meet your exact needs.

Mi your board can act on

Built with experience and insight from seasoned compliance and risk management professionals, Axiol provides senior management with tools to identify, monitor and manage risks promptly. the platform supports scalability for growing firms, managing compliance risks effectively and reliably.

 

We understand the difficulty in delivering effective Management Information (MI) to enhance decision-making. therefore, understanding your data is important, but conveying it in a way everyone can grasp is key.

'Without evidence of compliance, there is only non-compliance'

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For MI to be effective it must be:

Accurate: It must present correct data, accompanied by relevant commentary from the required sources.

Timely: It should be available quickly following business activities to enable managers to take action.

Relevant: It should focus on areas where managers are easily able to identify risks relevant to their department and escalate where required.

Consistent: It should ensure consistency over time, enabling managers to identify trends and consequently make informed decisions.

Why now?

Evolving regulatory changes have made it challenging for businesses to keep pace, whilst taking into account escalating industry-wide staff costs. To effectively manage growing compliance obligations and support business growth, companies must adopt technological solutions and reduce reliance on manual processes. Implementing an automated workflow management system can simplify processes, improve accuracy, shorten turnaround times, reduce burdens and enhance overall efficiency.

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