Siron®RCCFactsheet

Siron®Risk & Compliance Cockpit (Siron®RCC) provides Compliance Officers with a clear overview of compliance measures that

prevent financial crime. Compliance Officers will receive a precise picture of the efficiency and the risk situation of the entire

Compliance organization – for all subsidiaries and countries. Siron®RCC helps financial service providers visualize and control the

measures to reduce risks in the fields of money laundering, risk analysis, financing of terrorism, and fraud.

Specialized and Organizational Requirements in ComplianceThe growing complexity of basic statutory conditions is a continual challenge to efficient compliance measures and to the Compliance organization. The active management of compliance risks and activities for all connected national and international departments and subsidiaries requires an up-to-date central overview of the most important variables. The Risk & Compliance Cockpit supports Compliance Officers regarding these tasks:

� Operational and technical status of the connected research and risk assessment systems

� Case management monitoring in the Compliance organization

� Duration and efficiency of the implemented compliance measure

� Use of the compliance application

� Focus on and distribution of compliance risks (money laundering, fraud, financing of terrorism)

� Degree of coverage of identified compliance risks by preventive measures

� Residual risks

� Efficiency validation of check scenarios

� Monitoring of false-positive ratios

Risk & Compliance Cockpit

� Up-to-date management information on Compliance activities and the institution‘s risk situation at one glance and at all times

� Early detection of shortcomings of and risks in the internal control system

� Intuitive cockpit views enable efficient Compliance and controlling

� Automatic processes reduce the expenditure for the aggre- gation of compliance information

� Provision of aggregated data from all connected Compliance entities

� Analyses and comparison of trends and risk changes between institutions or countries

� Reduced expenditure to ascertain the global compliance status

� Fast implementation through plug & play interfaces for the research and risk assessment systems (Siron®RAS, Siron®KYC, Siron®AML, Siron®Profile, Siron®Embargo, Siron®FD)

� Extensive filter functions for detail analysis of measures and compliance information

� Interactivity in browsers and on mobile devices

Further information www.tonbeller.com

Siron®RCC – The Highlights

Please contact our Sales Partner:

Phone:

Compliance Officers Benefit from Transparent Reports and Analyses The departments for the prevention of money laundering and fraud as well as the internal audit engage in securing and evaluating the compliance of the financial institution and through a continual optimization of the process. These departments often operate independently in a company and report separately to the management or the Compliance Officers. This does not yield the desired transparency, traceability, and continuity. An efficient Compliance management requires a holistic view, analysis, and the comparison of all connected Compliance entities.

Siron®RCC provides that holistic overview of internal activities and the risk situation to management boards and Compliance Officers through a unified, visually appealing cockpit. The degree of detail of the information depends on the role and the permissions of the user: Compliance Officers are granted a holistic view on the risk analysis including the preventive measures and their status. Operational analyses, such as the retrieval of true-positive and false-positive ratios from the scorings of the research systems or the case status, also provide important information on the optimization of the check strategy. Local specialists benefit from the compliance information relevant to their fields.

Siron®RCC also enables smaller institutions to analyze the individual risk development based on the Siron modules. Hence, the scalable solution solves the compliance requirements in terms of contents and operation for institutions of any size. Users receive a focused view on the most important and critical developments in the connected Compliance Departments or fields. All critical risks and measures are displayed transparently and can be minimized.

Aggregate and Filter Compliance InformationWhen aggregating data from the research and risk assessment systems, personal data is not transferred in accordance with statutory data security regulations and the requirement to protect the personality. Based on data from the integrated modules, measures are calculated, structured and shown using highly developed visualization techniques.

By using the filter functions of Siron®RCC, Compliance Officers can break down the compliance information in a targeted manner. Filters can be used for the detailed analysis by country, subsidiary, customer category, and risk factor. Measure development over time (year/month) and trends are also modeled and analyzed.

Easy ImplementationSiron®RCC is a plug-and-play solution that can be implemented in no time and integrates the modules for risk analysis (Siron®RAS), anti-money laundering (Siron®AML), fraud prevention (Siron®FD), person check (Siron®KYC), and sanction list monitoring (Siron®Embargo) through automated interfaces. Access to relevant data is granted for all countries and subsidiaries. Siron®RCC thus fulfills the requirements for cross-institutional compliance. Time-consuming and error-prone routine tasks to consolidate data and measures are minimized.

Analysis of the efficiency of anti-money laundering check scenarios Controlling of the measures to prevent and minimize risks

Fair Isaac Germany GmbH Werner-von-Siemens-Str. 2 | 64625 Bensheim, Germany

Phone: +49 6251 7000 - 0 | info-tonbeller@fico.comwww.tonbeller.com | fico.com

© Fair Isaac Germany GmbH: All rights reserved