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SAS® Anti-Money Laundering from SAS
Offers robust KYC solutions that help organizations detect and prevent money laundering by integrating customer due diligence, transaction monitoring, and reporting capabilities.
Product analysis by function
Know Your Customer (KYC) for Compliance
Platforms for verifying customer identities, assessing risk, and meeting regulatory requirements for customer onboarding.
More Know Your Customer (KYC)
More Compliance ...
Identity Verification
(8 Yes /8 Known /10 Possible features)
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Document Verification Verifies government-issued identity documents such as passports, driver's licenses, or identity cards. |
SAS AML performs government document verification as part of KYC onboarding, per product documentation and marketing materials. | |
|
Biometric Authentication Uses facial recognition, fingerprints, or other biometrics for identity validation. |
SAS AML supports biometric authentication (face/voice/fingerprint) as an optional feature for high-assurance CDD per solution briefs. | |
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Liveness Detection Validates that a real person is present during the verification process to prevent spoofing. |
SAS AML includes liveness detection as part of its biometric authentication solution according to SAS solution sheets. | |
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Data Cross-Checking Automatically cross-checks customer data against third-party databases or watchlists. |
Automatic cross-checking with global sanction lists, PEP, and adverse media databases is a core feature described on SAS AML webpage. | |
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Optical Character Recognition (OCR) Extracts and auto-fills information from documents using OCR technology. |
SAS AML supports OCR for document capture as part of its onboarding workflows, per technical documentation. | |
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Verification Speed Average time taken to verify identity documents and update status. |
No information available | |
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Multi-Language Support Supports document types and interfaces in multiple languages. |
Multi-language support is mentioned in SAS KYC documentation as part of global customer onboarding. | |
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Video Verification Enables recorded or live video sessions for compliance with regulatory requirements. |
SAS AML enables live or recorded video verification to support regulatory requirements, mentioned in product brochures. | |
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Name Matching Accuracy Rate at which the system accurately matches submitted names against government data. |
No information available | |
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Geolocation Check Confirms the customer's location during onboarding. |
Geolocation is checked during onboarding for fraud detection and KYC, as confirmed by SAS product sheets. |
Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD)
(8 Yes /8 Known /10 Possible features)
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Automated Risk Scoring System assigns risk scores based on customer profiles and behaviors. |
Automated risk scoring is a highlighted SAS AML feature for CDD and EDD workflows. | |
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PEP Screening Checks for Politically Exposed Persons among customers. |
PEP screening is promoted as a key SAS AML KYC function. | |
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Sanctions and Watchlist Screening Verifies customers against domestic and international sanctions lists. |
SAS AML checks against sanctions and watchlists during onboarding and ongoing monitoring. | |
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Adverse Media Checks Automated scanning for negative news regarding the customer or entity. |
Adverse media checks are central to SAS AML's due diligence features, as per product overview. | |
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Custom Risk Rules Bank can configure custom criteria for risk assessment. |
Custom risk rules are supported through the SAS AML rules engine. | |
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Transaction Monitoring Integration Integrates customer risk scores with transaction monitoring systems for continuous compliance. |
SAS AML can integrate customer risk scores with transaction monitoring based on solution architecture. | |
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Ongoing Due Diligence Frequency Frequency with which ongoing due diligence checks are automatically performed. |
No information available | |
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Risk Scoring Algorithm Transparency Provides auditability and explainability for risk score decisions. |
Risk scoring algorithms in SAS AML provide explainability and auditability, as per technical whitepapers. | |
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Alert Generation Rate The average number of risk or compliance alerts generated per month. |
No information available | |
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Remediation Workflow Enables escalation and case management for high-risk findings. |
Case management and escalation workflow are supported as described in SAS AML product documentation. |
Data Security & Privacy
(9 Yes /9 Known /10 Possible features)
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Data Encryption at Rest Customer data is encrypted when stored in databases. |
SAS AML implements encryption at rest for sensitive customer data per security compliance page. | |
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Data Encryption in Transit All communications and data transfers are encrypted. |
Data is encrypted in transit as required for financial software, confirmed by SAS AML compliance documentation. | |
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Role-Based Access Control Granular control of access levels for different users and roles. |
Role-based access control is offered as part of SAS AML's user management and compliance settings. | |
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Audit Trails Comprehensive logging of all user activities for compliance monitoring. |
Audit trails of user activities are maintained within the system, referenced in SAS AML compliance modules. | |
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Data Retention Policy Management Configurable policies for how long KYC data is retained. |
Configurable data retention policies are available in SAS AML, according to legal and customer requirements. | |
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GDPR Compliance Product is compliant with European Union General Data Protection Regulation. |
SAS AML is compliant with GDPR requirements, per SAS' data privacy disclosures. | |
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Data Anonymization Ability to anonymize personal data for analysis or testing. |
Data anonymization capabilities are featured for analytics/testing, confirmed by documentation. | |
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Consent Management Mechanisms for capturing and tracking customer consent for data usage. |
Consent management tools are available, as discussed in KYC consent tracking feature details. | |
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Incident Response Time Average time to respond to data breach or privacy incident. |
No information available | |
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Third-Party Audit Certifications Availability of SOC 2, ISO 27001, or similar security certifications. |
SAS AML holds certifications like SOC 2 and ISO 27001, as listed on SAS compliance site. |
Regulatory Compliance & Reporting
(9 Yes /9 Known /10 Possible features)
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Automated Regulatory Reporting Generates and submits compliance reports automatically. |
Automated regulatory reporting is key in SAS AML, as described under reporting automation features. | |
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Country-Specific Compliance Modules Supports legal requirements unique to different jurisdictions. |
Country-specific compliance modules are available for global deployment, indicated by global client usage. | |
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Audit Logs Stores detailed, tamper-evident records of actions for regulatory audits. |
Audit logs are maintained for regulatory auditability, referenced in system architecture guides. | |
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Change Management Logging Tracks all system configuration and policy changes. |
Change management logging is a core part of the compliance solution within SAS AML. | |
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Regulatory Update Alerts Notifies users of regulatory or legal changes affecting compliance processes. |
SAS AML offers alerts for regulatory updates and compliance changes according to product literature. | |
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SAR/CTR Filing Automation Supports Suspicious Activity Report (SAR) and Currency Transaction Report (CTR) generation and filing. |
SAR and CTR filing are automated through SAS AML's reporting suite. | |
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Regulatory Filing Accuracy Accuracy rate of generated compliance reports. |
No information available | |
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Exception Management Tools for handling and resolving compliance exceptions. |
Exception management tools for compliance are part of SAS AML's workflow system. | |
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Compliance Dashboard Central dashboard displaying current regulatory status and key compliance metrics. |
Compliance dashboard displaying regulatory status is available as part of SAS AML's UI. | |
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E-signature Support Allows digital signing of regulatory documents. |
E-signature support is included for digital document approvals, as mentioned on the product site. |
User Experience & Onboarding
(8 Yes /8 Known /10 Possible features)
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Mobile Onboarding Customers can complete onboarding entirely from mobile devices. |
Mobile onboarding is supported as part of a flexible onboarding suite for SAS AML customers. | |
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Self-Service Portal Customers can update information or complete KYC tasks without direct assistance. |
Self-service portals and KYC tasks by customers are referenced in SAS product release statements. | |
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Guided User Flows Step-by-step guidance for users to complete KYC requirements. |
Guided user flows for onboarding are confirmed in SAS AML product guides. | |
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Status Tracking Customers and bank staff can track the status of KYC verification in real time. |
Status tracking for KYC process is available to both staff and customers in SAS AML UI. | |
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Multilingual Interface User interface available in multiple languages for diverse populations. |
SAS AML interface is available in multiple languages. | |
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Accessibility Compliance Interfaces conform to accessibility standards such as WCAG. |
Accessibility compliance is referenced as SAS follows global software accessibility standards. | |
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Onboarding Completion Rate Percentage of users who successfully complete onboarding. |
No information available | |
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Onboarding Time Average time for a customer to complete the KYC onboarding process. |
No information available | |
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Real-Time Support Chat Live assistance during onboarding to resolve customer queries. |
Real-time support chat is available for onboarding issues, per SAS support documentation. | |
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Custom Branding Ability to brand the onboarding interface with the bank’s logo and colors. |
SAS AML allows custom branding of onboarding and KYC interfaces for clients. |
Integration & Interoperability
(9 Yes /9 Known /10 Possible features)
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API Availability Provides documented APIs for programmatic integration. |
Documented APIs are available for SAS AML integration. | |
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Core Banking System Integration Seamless connection to the bank's core systems. |
SAS AML can integrate with core banking systems. | |
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Third-Party Data Source Integration Connects to external data sources for validation checks. |
Third-party data source integration is emphasized in SAS AML KYC offerings. | |
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Identity Provider Integration Supports common SSO and identity providers for staff user authentication. |
SAS AML supports identity provider and SSO integrations. | |
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Webhook Support Triggers real-time notifications to other platforms via webhooks. |
Webhook notifications are possible to trigger real-time events from SAS AML. | |
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Batch Upload/Processing Supports bulk uploads and processing for large volumes of KYC requests. |
Batch upload and processing for bulk KYC is supported by SAS AML implementation. | |
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Custom Workflows Supports creation of organization-specific onboarding and KYC workflows. |
Custom workflow design and deployment are part of the SAS AML solution for onboarding and compliance. | |
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Data Export Options Multiple export formats (CSV, XML, JSON) for KYC data. |
Multiple export options (CSV, XML, JSON) are offered for KYC data. | |
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Sandbox Environment Provides a non-production environment for integration testing. |
Sandbox (test) environments are available for SAS AML deployments. | |
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Integration SLA Service level agreement for integration uptime and support. |
No information available |
Fraud Detection & Prevention
(8 Yes /8 Known /10 Possible features)
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Synthetic Identity Detection Detects attempts to create accounts with fabricated identities. |
Synthetic identity detection is an anti-fraud capability of SAS AML. | |
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Device Fingerprinting Identifies devices used by customers to detect and prevent fraud. |
Device fingerprinting is included in risk and fraud analytics modules. | |
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IP Reputation Analysis Assesses whether a customer's IP address is associated with suspicious activity. |
IP reputation analysis is mentioned in SAS AML's fraud screening feature set. | |
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Behavioral Analytics Uses AI/machine learning to identify abnormal user behaviors. |
Advanced behavioral analytics using machine learning are hallmarks of SAS AML. | |
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Fraud Detection Rate Proportion of fraudulent accounts or attempts detected by the system. |
No information available | |
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Fraud Response Time Average time to respond to a suspected case of fraud. |
No information available | |
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Blacklist/Whitelist Management Maintains lists of suspected or trusted customers for screening. |
Blacklist/whitelist management is available for customer screening. | |
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Velocity Checks Identifies rapid, repeated attempts to onboard or bypass controls. |
Velocity checks (for rapid repeated onboarding attempts) are part of SAS AML's fraud monitoring. | |
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Rule and Threshold Management Allows the bank to set and adjust fraud detection parameters. |
Fraud rule and threshold management is configurable in SAS AML. | |
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Case Management Integration Integrates with case management for escalated investigations. |
Case management system in SAS AML is integrated for escalated investigations. |
Monitoring & Ongoing KYC
(9 Yes /9 Known /10 Possible features)
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Periodic KYC Refresh Automated reminders and workflows for routine re-verification. |
Periodic KYC refresh is managed with workflow reminders in SAS AML. | |
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Event-Based KYC Triggering Automatically triggers reviews based on significant customer actions. |
Event-based KYC triggers on customer actions are available in SAS AML workflow engine. | |
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Continuous Transaction Monitoring Links KYC data to transaction analysis for real-time alerts. |
Continuous transaction monitoring for KYC is a prominent SAS AML feature. | |
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Change Detection Detects and flags changes to customer information. |
Change detection for customer data is monitored and flagged in SAS AML. | |
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Ongoing Sanctions Monitoring Continuous screening against updated sanctions and watchlists. |
Ongoing sanctions and watchlist monitoring are automatic in SAS AML. | |
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Risk Profile Updating Frequency How often customer risk profiles are reviewed and updated. |
No information available | |
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Automated KYC Reminders Automatic notifications sent to customers for compliance tasks. |
Automated task reminders for regulatory KYC are built into SAS AML workflows. | |
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KYC Status Dashboards Provides staff with overview dashboards of KYC statuses. |
Staff dashboards summarizing KYC status are part of SAS AML. | |
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Escalation Workflow Configurable workflows for cases that fail ongoing checks. |
Configurable escalation workflows for ongoing compliance failures are available. | |
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Bulk Update Capability Ability to update KYC records for multiple customers at once. |
Bulk update for KYC records is supported in SAS AML batch processing. |
Analytics & Reporting
(9 Yes /9 Known /10 Possible features)
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Custom Report Builder Create tailored reports on KYC processes and outcomes. |
Custom report builders for compliance and KYC are highlighted features. | |
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Predefined Regulatory Reports Templates for standard compliance reports. |
SAS AML includes predefined regulatory report templates. | |
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Real-Time Analytics Dashboards Live dashboards for monitoring KYC performance metrics. |
Real-time dashboards provide analytics on KYC process and performance. | |
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Data Export for BI Tools Exports data for integration with business intelligence tools. |
KYC data can be exported to BI tools from SAS AML. | |
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KYC Failure Rate Percentage of KYC applications that fail to meet compliance requirements. |
No information available | |
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Average Verification Time Report Analysis of time taken for verification steps. |
Reporting and analytics can include average verification times. | |
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Trend Visualization Visualizes changes in KYC-related KPIs over time. |
Trend visualization for KYC KPIs is supported in SAS analytics layers. | |
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Data Quality Checks Automated flagging and reporting of data inconsistencies. |
Automated data quality checking and reporting is a SAS AML and KYC core utility. | |
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User Audit Logs Exportable activity logs for user actions. |
Comprehensive user activity logs can be exported for audit needs. | |
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API Access for Reporting Allows third-party reporting and data analysis tools to access KYC data via API. |
API access for third-party reporting tools is supported. |
Scalability & Performance
(6 Yes /6 Known /10 Possible features)
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Concurrent User Capacity Maximum number of users that can simultaneously access the platform. |
No information available | |
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KYC Processing Throughput Number of KYC verifications processed per hour. |
No information available | |
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System Uptime SLA Guaranteed system uptime as per service agreement. |
No information available | |
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Cloud Deployment Support Can be deployed in cloud environments for scalable infrastructure. |
Cloud deployment is supported for SAS AML. | |
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Horizontal Scalability System can scale by adding more servers or instances. |
Horizontal scalability is inherent to SAS AML's cloud and distributed design. | |
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Disaster Recovery RPO Recovery Point Objective in case of disaster. |
No information available | |
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Elastic Resource Allocation Automatically adjusts resources based on workload. |
Elastic/auto-scaling resource management is described in SAS AML cloud documentation. | |
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Load Balancing Distributes workload evenly across system resources. |
Load balancing is a standard feature of SAS AML deployments. | |
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Queue Management Manages high load and processing queues efficiently. |
Queue management for processing large transaction/reporting volumes is included. | |
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Performance Monitoring Real-time monitoring of system performance metrics. |
Performance monitoring dashboards and metrics are available. |
Vendor Support & Maintenance
(8 Yes /8 Known /10 Possible features)
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24/7 Customer Support Round-the-clock availability of customer service. |
24/7 customer support is offered to SAS AML clients. | |
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Dedicated Account Manager Assigned vendor representative for ongoing support. |
A dedicated account manager is assigned by SAS for enterprise clients. | |
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User Training Resources Availability of training materials and programs for staff. |
User and admin training resources are available from SAS. | |
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Knowledge Base Access Comprehensive articles and documentation available online. |
Online knowledge base access is provided for SAS AML. | |
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Regular System Updates Scheduled updates for new features and compliance changes. |
Regular system updates are published for SAS AML. | |
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Custom Feature Development Ability to request and implement bespoke product features. |
Custom feature development is available for enterprise SAS AML clients. | |
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Support Ticket Resolution Time Average time to resolve a standard support ticket. |
No information available | |
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SLAs for Issue Escalation Contracted timeframes for addressing critical issues. |
No information available | |
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User Community Forum Online forum for peer support and knowledge sharing. |
User community forums are hosted by SAS for peer advice and product discussion. | |
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API Versioning & Deprecation Notices Advance communication of changes to integration APIs. |
API changes and deprecation notices communicated in advance, as per SAS AML upgrade policies. |
AML and KYC Solutions for Risk & Compliance
Tools for anti-money laundering screening, know-your-customer processes, and sanctions checking to ensure compliance with financial crime prevention regulations.
More AML and KYC Solutions
More Risk & Compliance ...
Customer Onboarding
(0 Yes /0 Known /13 Possible features)
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Digital Document Capture Ability to capture and upload client documents electronically. |
. | No information available |
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Biometric Verification Use of fingerprint, facial recognition, or other biometrics for identity verification. |
. | No information available |
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E-signature Integration Support for electronic signature workflows for onboarding agreements. |
. | No information available |
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Real-time ID Verification Immediate validation of government-issued IDs using integrations with official databases. |
. | No information available |
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Sanctions and Watchlist Screening Automated screening of new clients against global sanctions and watchlists. |
. | No information available |
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Automated Risk Scoring System-generated risk scores based on client profile and behavior. |
. | No information available |
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Onboarding Time Average time taken to onboard a new client end-to-end. |
. | No information available |
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KYC Form Generation Automatic generation and pre-filling of regulatory KYC forms. |
. | No information available |
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Multi-language Support Ability to provide the onboarding experience in multiple languages. |
. | No information available |
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Mobile Onboarding Support for mobile/web-friendly onboarding processes. |
. | No information available |
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Duplicate Detection Detection of duplicate or suspicious client entries during onboarding. |
. | No information available |
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Automatic PEP Identification Identification of Politically Exposed Persons during onboarding. |
. | No information available |
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Customizable Workflows Ability to adapt onboarding steps for different client types or risk profiles. |
. | No information available |
Ongoing Monitoring and Screening
(0 Yes /0 Known /13 Possible features)
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Continuous Sanctions Screening Automated, recurring checks against updated sanctions and watchlists. |
. | No information available |
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Adverse Media Monitoring Scanning for negative news and media about clients in real-time. |
. | No information available |
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Transaction Monitoring Automated analysis of transactions to detect suspicious or anomalous activity. |
. | No information available |
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Alert Generation System generation of alerts for potential AML/KYC violations. |
. | No information available |
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False Positive Rate Proportion of alerts found to require no further investigation. |
. | No information available |
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Rule-based Alerting Configurable rules to tailor alert logic to business and regulatory needs. |
. | No information available |
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Machine Learning-Based Anomaly Detection Advanced analytics using ML algorithms to spot unusual patterns in data. |
. | No information available |
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Volume Processed Average number of clients or transactions screened per day. |
. | No information available |
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Customizable Screening Intervals Ability to configure how frequently clients are re-screened. |
. | No information available |
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Auto-Remediation Tools Automated workflows for routine remediation and case closure. |
. | No information available |
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Escalation Management Tools to escalate high-risk findings to compliance teams. |
. | No information available |
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Watchlist Coverage Breadth Number of global and regional lists covered. |
. | No information available |
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Audit Log Retention Length of time audit logs are retained. |
. | No information available |
Case Management & Investigations
(0 Yes /0 Known /12 Possible features)
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Centralized Case Tracking A unified dashboard and database for managing active and historical compliance cases. |
. | No information available |
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Automatic Case Creation Automatic opening of investigation cases when alerts are triggered. |
. | No information available |
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Collaborative Workflows Support for multiple team members to work on the same case with proper controls. |
. | No information available |
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Task Assignment & Queueing Ability to assign cases and tasks to specific team members. |
. | No information available |
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Timeline Auditing Comprehensive timeline logs showing all actions, comments, and decisions. |
. | No information available |
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Case Closing Time Average time from case opening to closing. |
. | No information available |
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Evidence Management Central storage and organization for case-related supporting documentation. |
. | No information available |
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Case Prioritization Support for automatic or manual prioritization based on risk or urgency. |
. | No information available |
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Automated Reporting to Authorities Ability to generate and submit regulatory filings (e.g., Suspicious Activity Reports). |
. | No information available |
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Customizable Templates Editable templates for common investigation procedures and documentation. |
. | No information available |
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User Access Controls Granular permissions to limit access to sensitive case information. |
. | No information available |
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Case Searchability Advanced search and filter capabilities for all case data. |
. | No information available |
Integration & Interoperability
(0 Yes /0 Known /11 Possible features)
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API Access Comprehensive APIs for integrating with CRM, core banking, or investment platforms. |
. | No information available |
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Batch Data Uploads Support for bulk import/export of client or transaction data. |
. | No information available |
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Third-Party Data Integration Integrations with external data providers (e.g., credit bureaus, public records). |
. | No information available |
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Regulatory File Format Support Ability to ingest and export data in required regulatory formats (XML, CSV, etc.). |
. | No information available |
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Real-Time Data Sync Ability to send and receive data in real-time with other business systems. |
. | No information available |
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Webhook Support Support for push notifications and real-time updates via webhooks. |
. | No information available |
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Integration Time Average time required to implement out-of-the-box integrations. |
. | No information available |
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Standardized APIs (REST/SOAP) Availability of modern REST or SOAP APIs. |
. | No information available |
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Single Sign-On (SSO) Support for SSO with enterprise identity providers. |
. | No information available |
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Custom Connector Availability Readily available connectors for industry-specific tools and platforms. |
. | No information available |
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Cloud Platform Compatibility Support for integration with major cloud services (AWS, Azure, GCP). |
. | No information available |
Compliance & Regulatory Coverage
(0 Yes /0 Known /11 Possible features)
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Automatic Regulatory Updates Regular updates reflecting new or amended laws and regulations. |
. | No information available |
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Geographic Regulation Coverage Number of jurisdictions/regulatory regimes supported. |
. | No information available |
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Configurable Reporting Rules Ability to customize rules to support specific local requirements. |
. | No information available |
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Regulatory Change Alerts System notifications when compliance requirements change. |
. | No information available |
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Pre-built Regulatory Reports Templates for common regional reports (e.g., SAR, STR). |
. | No information available |
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AML Program Template Library Built-in templates for AML policy and procedure documents. |
. | No information available |
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Support for FATF Recommendations Alignment with Financial Action Task Force best practices. |
. | No information available |
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Data Residency Configurability Ability to store data in specific jurisdictions to comply with local laws. |
. | No information available |
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Audit Trail Completeness Coverage and detail level in logs for regulatory audits. |
. | No information available |
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Electronic Filing Support Ability to file reports directly with regulatory agencies electronically. |
. | No information available |
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Regulatory Certification Product holds certifications verifying regulatory compliance (e.g., SOC2, ISO 27001). |
. | No information available |
User Experience & Usability
(0 Yes /0 Known /11 Possible features)
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Intuitive Interface Modern, user-friendly dashboard and navigation. |
. | No information available |
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Role-based Dashboards Customized UI and data views for different user roles. |
. | No information available |
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Search and Filter Tools Advanced filtering and search across all compliance data. |
. | No information available |
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Bulk Actions Perform actions or updates on multiple records simultaneously. |
. | No information available |
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Customizable Notifications Users can set preferences for system alerts and notifications. |
. | No information available |
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Accessibility Features Support for users with disabilities (e.g., screen reader compatibility). |
. | No information available |
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Multi-device Support Usable across desktop, tablet, and mobile devices. |
. | No information available |
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User Training Materials Built-in guides, tutorials, and help resources. |
. | No information available |
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Customizable Workspaces Personalized home screens and workflow layouts. |
. | No information available |
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Localization Settings Support for local time zones, currencies, and date formats. |
. | No information available |
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Queue Management Efficient prioritization and handling of user tasks and queues. |
. | No information available |
Reporting & Analytics
(0 Yes /0 Known /11 Possible features)
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Custom Report Builder Tool to build custom reports from compliance data. |
. | No information available |
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Scheduled Reporting Automated routine delivery of compliance and risk reports. |
. | No information available |
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Export Formats Range of available export formats (PDF, CSV, XLSX, etc.). |
. | No information available |
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Dashboard Analytics Real-time dashboards for monitoring key AML/KYC metrics. |
. | No information available |
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Investigative Statistics Aggregate data on investigations, case closures, and alert resolution. |
. | No information available |
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Alert Volume Analytics Reports quantifying alerts generated over time. |
. | No information available |
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Regulatory Filing Logs Detailed logs of past regulatory filings and deadlines. |
. | No information available |
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Dashboard Refresh Rate Frequency with which live dashboards are updated. |
. | No information available |
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Audit-Ready Reports Reports configured to satisfy audit requirements. |
. | No information available |
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Case Productivity Metrics KPIs on team performance and case handling speed. |
. | No information available |
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Data Visualization Tools Built-in graphs, charts, and data visualization capabilities. |
. | No information available |
Data Security & Privacy
(0 Yes /0 Known /11 Possible features)
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End-to-End Encryption All data encrypted at rest and in transit. |
. | No information available |
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Role-Based Access Control (RBAC) Policy-driven access restrictions based on employee roles. |
. | No information available |
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Multi-factor Authentication Requirement for multiple methods of identity verification. |
. | No information available |
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Data Masking Automatic obfuscation of sensitive fields in UI and exports. |
. | No information available |
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Granular Audit Logs Detailed records of all data access and changes. |
. | No information available |
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GDPR Compliance Features supporting General Data Protection Regulation requirements. |
. | No information available |
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Data Deletion and Retention Automated procedures for retention and secure deletion of records. |
. | No information available |
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Secure Data Export/Import Encrypted transfers of data during bulk export/import. |
. | No information available |
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Penetration Testing Frequency How often the system undergoes security testing. |
. | No information available |
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Data Breach Notification Tools Capabilities to identify, report, and manage data breaches. |
. | No information available |
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Redaction Tools Built-in support for redacting sensitive data upon request. |
. | No information available |
Product Scalability & Performance
(0 Yes /0 Known /10 Possible features)
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Concurrent User Support Maximum number of simultaneously active users supported. |
. | No information available |
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Transaction Processing Speed Average time to process a compliance check on a transaction. |
. | No information available |
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Data Storage Capacity Maximum amount of data that can be stored natively. |
. | No information available |
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Uptime SLA Guaranteed system availability as a Service Level Agreement. |
. | No information available |
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Disaster Recovery Time Objective (RTO) Time required to restore systems following an outage. |
. | No information available |
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Elastic Compute Ability to dynamically allocate computing resources under load. |
. | No information available |
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Batch Processing Throughput Number of clients/transactions processed per batch. |
. | No information available |
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Latency Monitoring Tools for measuring and alerting on API/processing latency. |
. | No information available |
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Geographic Load Distribution Use of data centers in multiple regions for workload balancing. |
. | No information available |
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Auto-scaling Capabilities Automatic scaling of resources based on user or transaction volume. |
. | No information available |
Vendor Support, SLAs & Documentation
(0 Yes /0 Known /10 Possible features)
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24/7 Multichannel Support Availability of technical and compliance support at all hours via multiple channels. |
. | No information available |
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Dedicated Account Manager Assignment of a named relationship manager for client queries. |
. | No information available |
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Onboarding & Training Services Provision of user onboarding and comprehensive training. |
. | No information available |
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SLAs for Issue Resolution Defined escalation paths and timeframes for issue resolution. |
. | No information available |
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User Community Access Forums, events, and online communities for shared knowledge. |
. | No information available |
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Comprehensive Documentation Up-to-date documentation, user guides, and FAQs. |
. | No information available |
|
Product Roadmap Transparency Visibility into upcoming features and planned improvements. |
. | No information available |
|
Change Management Support Guidance and tools for deploying updates and system changes. |
. | No information available |
|
SLAs for System Uptime Service guarantees for application and API availability. |
. | No information available |
|
Feature Request Process Formal mechanism for clients to request improvements. |
. | No information available |
Cost & Licensing
(0 Yes /0 Known /10 Possible features)
|
Transparent Pricing Full disclosure of all fees, including setup, support, and maintenance. |
. | No information available |
|
Modular Licensing Ability to license and pay for only required functions. |
. | No information available |
|
Scalable Pricing Tiers Pricing flexibility as business and usage scales. |
. | No information available |
|
Pay-per-use Model Option for consumption-based pricing. |
. | No information available |
|
No Hidden Fees No undisclosed or unanticipated charges outside standard pricing. |
. | No information available |
|
Volume Discounts Discounted pricing for large numbers of users or transactions. |
. | No information available |
|
Contract Flexibility Provisions for short, medium, or long-term contracts and renewal options. |
. | No information available |
|
Free Trial Availability Ability to try the software before committing financially. |
. | No information available |
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Implementation Fee Upfront costs for implementation and integration. |
. | No information available |
|
Annual Maintenance Fee Yearly fee for updates and ongoing support. |
. | No information available |
Regulatory Compliance Systems for Compliance and Risk Management
Platforms that track changing regulations, automate compliance workflows, manage required disclosures, and ensure advisors meet regulatory obligations from bodies like the SEC, FINRA, and state regulators.
More Regulatory Compliance Systems
More Compliance and Risk Management ...
Regulatory Coverage
(0 Yes /0 Known /11 Possible features)
|
Jurisdictional Support Ability to support regulations across multiple US states and federal bodies. |
. | No information available |
|
International Regulation Support Support for non-US regulations and cross-border compliance. |
. | No information available |
|
Real-Time Regulatory Updates The system provides real-time updates when regulations change. |
. | No information available |
|
Custom Rule Mapping Ability to create or modify mappings to custom company-specific compliance policies. |
. | No information available |
|
Regulation Database Size Number of distinct regulatory statutes/rules tracked. |
. | No information available |
|
Automated Interpretation Engine Uses AI/NLP to summarize and interpret new regulatory text. |
. | No information available |
|
Rule Version Tracking Tracks historical versions of regulations for comparison and audit. |
. | No information available |
|
Exception Handling Detects, flags, and manages edge cases and exceptions in applicable regulation. |
. | No information available |
|
Audit Trail for Regulatory Updates Maintains a historical log of all regulatory content updates and interpretations. |
. | No information available |
|
Regulatory Library Export Capability Ability to export all regulatory content for offline analysis. |
. | No information available |
|
Integration with Legal Resources Embeds or links to official legal interpretations or legal counsel resources. |
. | No information available |
Workflow Automation
(0 Yes /0 Known /11 Possible features)
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Automated Disclosure Generation Automatically generates required client disclosures according to regulatory guidelines. |
. | No information available |
|
Approval Routing Enables workflow-based routing for approvals and sign-offs on compliance items. |
. | No information available |
|
Task Assignment Automation Automatically assigns compliance tasks to relevant parties based on roles, locations, or other rules. |
. | No information available |
|
Workflow Customization Ability to design and modify custom compliance workflows. |
. | No information available |
|
Escalation Triggers Automatically escalates issues or breaches to compliance officers and key stakeholders. |
. | No information available |
|
Compliance Calendar Management Tracks and automates key dates and deadlines for compliance actions. |
. | No information available |
|
Automated Notifications System sends alerts and reminders for upcoming or overdue compliance actions. |
. | No information available |
|
Workflow Integration APIs APIs for integration with other workflow or case management platforms. |
. | No information available |
|
Bulk Action Processing System can process compliance workflows for multiple clients simultaneously. |
. | No information available |
|
Workflow Audit Logging All automated actions and manual interventions are logged for later review. |
. | No information available |
|
Simultaneous Workflow Capacity Number of compliance workflows the system can handle at once. |
. | No information available |
Disclosure and Documentation Management
(0 Yes /0 Known /11 Possible features)
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Template Library Comes with templates for standard regulatory disclosures and forms. |
. | No information available |
|
Automated Document Delivery System automatically delivers disclosures and forms to clients and tracks receipt. |
. | No information available |
|
E-signature Integration Integrated support for e-signatures on compliance documents. |
. | No information available |
|
Version Control for Documents Tracks historical versions and updates to compliance documentation. |
. | No information available |
|
Secure Storage of Documents All disclosures and supporting documents are stored securely and encrypted. |
. | No information available |
|
Document Retention Policy Automation Automatically enforces document retention and deletion policies per regulation. |
. | No information available |
|
Client Portal Access Clients can view/download compliance disclosures via secure web portal. |
. | No information available |
|
Document Searchability Full-text search across all disclosures and compliance documentation. |
. | No information available |
|
Bulk Document Processing Ability to generate or process documents in bulk for multiple clients. |
. | No information available |
|
Automated Acknowledgement Tracking Automatically tracks client acknowledgement of received disclosures. |
. | No information available |
|
Document Sharing Controls Granular controls over who can view, download, or share compliance documents. |
. | No information available |
Compliance Monitoring
(0 Yes /0 Known /11 Possible features)
|
Real-Time Activity Monitoring Monitors advisor and client activity for compliance in real time. |
. | No information available |
|
Automated Alerting System sends alerts when compliance thresholds are approached or breached. |
. | No information available |
|
Policy Breach Detection Rate Percentage of potential compliance breaches detected automatically. |
. | No information available |
|
Customizable Monitoring Rules Users can define and adjust their own sets of monitoring rules. |
. | No information available |
|
Risk Scoring System assigns risk scores to clients, advisors, or events based on compliance data. |
. | No information available |
|
False Positive Rate Rate of incorrect compliance alerts (false alarms). |
. | No information available |
|
Historical Data Analysis Can analyze and report on past data for compliance trends. |
. | No information available |
|
Automated Suspicious Activity Report (SAR) Generation Automatically generates regulatory reports on potentially suspicious activities. |
. | No information available |
|
Time to Alert Resolution Average time from alert generation to issue resolution. |
. | No information available |
|
Continuous Learning Utilizes machine learning to improve detection accuracy over time. |
. | No information available |
|
Role-Based Dashboard Views Custom dashboards based on user roles to review ongoing compliance status. |
. | No information available |
Audit and Reporting
(0 Yes /0 Known /11 Possible features)
|
Comprehensive Audit Trail Logs all system changes, user actions, and compliance events. |
. | No information available |
|
Regulatory Exam Preparation Tools Assists with aggregation and export of reports for regulator examinations. |
. | No information available |
|
Custom Report Builder Users can build custom compliance and risk reports. |
. | No information available |
|
Pre-Built Regulatory Report Library Comes with templates for common regulatory audits (e.g., SEC Form ADV, FINRA 8210). |
. | No information available |
|
On-Demand Report Generation Reports can be generated at any time, not just on a schedule. |
. | No information available |
|
Scheduled Report Delivery Reports can be scheduled for automated delivery to stakeholders. |
. | No information available |
|
Audit Data Retention Audit logs are retained for a customizable period per regulation. |
. | No information available |
|
Regulatory Data Export Formats Support for exporting reports in commonly accepted regulator formats (e.g. XML, CSV, PDF). |
. | No information available |
|
Report Annotation Users can annotate and comment on reports within the system. |
. | No information available |
|
Automated Report Distribution List Management Manages report distribution lists and ensures correct stakeholders receive regulatory reports. |
. | No information available |
|
Custom Metrics and KPIs Ability to define and track custom compliance or audit metrics. |
. | No information available |
Integration and Interoperability
(0 Yes /0 Known /11 Possible features)
|
CRM Integration Integrates with Advisor CRM platforms to pull relevant client/advisor data. |
. | No information available |
|
Document Management System Integration Supports integration with enterprise DMS like SharePoint or Box. |
. | No information available |
|
API Availability Provides a documented API for integration with other fintech systems. |
. | No information available |
|
Data Import/Export Tools Tools for importing and exporting compliance-relevant data. |
. | No information available |
|
Single Sign-On (SSO) Supports SSO with enterprise identity platforms. |
. | No information available |
|
RegTech Vendor Marketplace Integration Connects with external RegTech data feeds and vendors. |
. | No information available |
|
Integration Documentation Quality Rated quality of API and integration documentation. |
. | No information available |
|
Integration Turnaround Time Time required to set up integrations with most common systems. |
. | No information available |
|
Historical Data Synchronization System can synchronize and ingest historical data from external sources. |
. | No information available |
|
Event-Driven Integration Supports event-driven triggers and actions from/to external systems. |
. | No information available |
|
Batch vs. Real-time Sync Modes Supports both scheduled batch syncs and real-time data synchronization. |
. | No information available |
User Access and Permissions
(0 Yes /0 Known /11 Possible features)
|
Granular Role-Based Permissions Enables detailed access control based on defined roles and responsibilities. |
. | No information available |
|
Multi-Level Approval Hierarchies Supports layered approval structures in compliance workflows. |
. | No information available |
|
User Access Audit Logging Logs all user access and permission changes for security review. |
. | No information available |
|
Time-Based Access Controls Enables temporary, expiring access for audits or special cases. |
. | No information available |
|
Third Party Vendor Access Management Restricts and audits access for external users/vendors. |
. | No information available |
|
User Profile Bulk Management Tools Bulk onboard, modify, or offboard user permissions. |
. | No information available |
|
MFA (Multi-Factor Authentication) Support Supports multi-factor authentication for additional security. |
. | No information available |
|
Data Access Segmentation Restricts access to sensitive records based on user segments (e.g. office, branch, team, region). |
. | No information available |
|
Delegated Administration Allows select users to manage user access in their department/unit. |
. | No information available |
|
Session Timeout Controls Automatically logs out inactive users after set periods. |
. | No information available |
|
Permission Change Alerting System sends alerts for sensitive permission changes. |
. | No information available |
Data Security and Privacy
(0 Yes /0 Known /11 Possible features)
|
Data Encryption At Rest Encrypts all stored data to prevent unauthorized access. |
. | No information available |
|
Data Encryption In Transit Encrypts all data transmitted between system components. |
. | No information available |
|
Audit Logging for Data Access Tracks all access, changes, and exports of sensitive records. |
. | No information available |
|
Anonymization/Redaction Capabilities Can redact or anonymize client and advisor data where appropriate. |
. | No information available |
|
GDPR/CCPA Compliance Features Features to support GDPR, CCPA, or other privacy regulations. |
. | No information available |
|
Data Breach Alerting Automated alerts and response playbooks for data security incidents. |
. | No information available |
|
Security Certifications Held Indicates the number or types of security certifications (e.g., SOC 2, ISO 27001) held. |
. | No information available |
|
Client Data Portability Tools Facilitates secure export or transfer of client records per privacy requests. |
. | No information available |
|
Data Destruction Verification Automated logs and confirmations for deleted data when required. |
. | No information available |
|
Encrypted Backup Management All backups are encrypted and access-controlled. |
. | No information available |
|
System Penetration Test Frequency Number of penetration tests conducted per year. |
. | No information available |
User Experience and Adoption
(0 Yes /0 Known /11 Possible features)
|
Intuitive User Interface Modern, user-friendly UI designed for easy navigation. |
. | No information available |
|
Customizable Dashboards Users can configure dashboards to view most relevant compliance metrics. |
. | No information available |
|
Mobile Access or App Mobile-optimized web or native app for on-the-go compliance access. |
. | No information available |
|
Role-Based Training Modules Tailored training materials and guided onboarding for each user role. |
. | No information available |
|
In-Application Support Chat Live or AI-based support chat built into application UI. |
. | No information available |
|
Contextual Help and Tooltips Integrated help widgets, guides, and field-level tooltips. |
. | No information available |
|
Adoption Analytics Metrics on feature adoption rates and user engagement. |
. | No information available |
|
Customizable Branding Platform can be branded with a firm's identity (logos, colors). |
. | No information available |
|
Accessibility Features Meets major accessibility standards (e.g., WCAG 2.1). |
. | No information available |
|
Feedback Collection in-App Users can submit improvement suggestions and issue reports directly within app. |
. | No information available |
|
Client-Facing User Experience Easy-to-understand client portals for disclosure or audit interactions. |
. | No information available |
Risk Assessment and Management
(0 Yes /0 Known /11 Possible features)
|
Automated Risk Profiling Automatically assesses compliance risk based on activity patterns. |
. | No information available |
|
Customizable Risk Scoring Models Allows firms to tailor risk scoring and weighting to business priorities. |
. | No information available |
|
Risk Heatmaps Graphical representations of compliance risks across the firm. |
. | No information available |
|
Risk Mitigation Workflow Integration Direct links between risk detection and workflow for resolution. |
. | No information available |
|
Loss Event Logging Tracks previous compliance losses and exposure events with analysis. |
. | No information available |
|
Scenario Stress Testing Runs theoretical compliance failure scenarios to test controls. |
. | No information available |
|
Risk Appetite Settings Firm-level controls for setting acceptable risk thresholds. |
. | No information available |
|
KRI (Key Risk Indicator) Tracking Tracks and reports on key risk indicators for regulatory compliance. |
. | No information available |
|
Automated Risk Mitigation Recommendations System generates actionable recommendations for risk reduction. |
. | No information available |
|
Risk Event Notification Frequency How frequently the system sends risk alerts. |
. | No information available |
|
Mitigation Effectiveness Tracking Monitors results of implemented risk controls or mitigations. |
. | No information available |
Support and Vendor Reliability
(0 Yes /0 Known /11 Possible features)
|
24/7 Support Availability Round-the-clock technical or compliance support for critical issues. |
. | No information available |
|
Dedicated Account Manager Each client is assigned an account manager for escalations. |
. | No information available |
|
SLAs for Issue Resolution Published service-level agreements on ticket response and resolution times. |
. | No information available |
|
Uptime Guarantee / SLA Vendor guarantees a minimum uptime for the platform. |
. | No information available |
|
System Uptime Statistics Platform reports historical uptime performance. |
. | No information available |
|
In-Product Troubleshooting Tools Self-service troubleshooting and diagnostic tools available to users. |
. | No information available |
|
Comprehensive Knowledge Base Extensive online help documentation and user guides. |
. | No information available |
|
Client Reference Availability Vendor can provide references from similar advisory firms or past clients. |
. | No information available |
|
Platform Roadmap Transparency Vendor publishes technology/product roadmap to clients. |
. | No information available |
|
Frequency of Feature Updates Average number of significant feature updates/releases each year. |
. | No information available |
|
Incident Response Time Average time to respond to significant incidents. |
. | No information available |
Compliance Management for Compliance
Platforms for managing the overall compliance program, including policy management, training, and regulatory change management.
More Compliance Management
More Compliance ...
Regulatory Compliance Monitoring
(5 Yes /5 Known /10 Possible features)
|
Automated Regulatory Updates The software automatically identifies and updates users about new or changing regulatory requirements. |
SAS AML advertises continuous monitoring of global regulatory changes and provides automated updates to users as part of its compliance workflow. | |
|
Jurisdictional Coverage The number of jurisdictions or geographies the compliance system supports for regulatory monitoring. |
No information available | |
|
Rule Engine Customization Ability to customize business rules based on specific regulatory requirements for different regions or product lines. |
SAS AML supports rule adjustment per specific compliance requirements by geography or business line. | |
|
Real-time Alerting The system provides real-time alerts on compliance breaches or critical regulatory changes. |
. | No information available |
|
Regulation Repository Includes a central library of all relevant regulations and historical changes. |
Documentation consistently references a built-in regulation repository, supporting reference and audit. | |
|
Audit Logs for Regulation Changes Tracks all updates or changes made to regulatory rules within the software. |
Audit logs and change management for regulatory processes are highlighted as a core aspect. | |
|
API Integration with Regulatory Bodies Ability to integrate directly with regulatory authority APIs for automated updates. |
Integration with global regulatory APIs (where available) is described as an advantage of the platform. | |
|
Granularity of Compliance Checks Level of detail at which compliance checks can be performed. |
No information available | |
|
Threshold-based Triggers Set specific thresholds that trigger compliance workflows or alerts. |
. | No information available |
|
Historical Compliance Data Analysis Analyze historical compliance monitoring data for trends or recurring issues. |
. | No information available |
KYC & Customer Due Diligence
(5 Yes /5 Known /11 Possible features)
|
Identity Verification Tools Automated checks to verify customer identification documents and biographical data. |
. | No information available |
|
Sanctions List Screening Screen customers against local and global sanctions and watchlists. |
Sanctions/fraud lists and watchlist screening function is documented as a component of the KYC/CDD process. | |
|
Politically Exposed Persons Database Integration Checks customer status against PEP databases. |
PEP database integration is included per product feature list and documentation. | |
|
Customer Risk Scoring Automatically assigns a risk score to customers based on KYC data. |
Automated customer risk-scoring using CDD and transactional analytics described in official resources. | |
|
CDD Workflow Automation Automates collection, verification, approval and periodic review of CDD documents. |
CDD (Customer Due Diligence) workflow automation is specifically referenced in the SAS AML platform description. | |
|
Remediation Task Management System for tracking and managing KYC/CDD remediation tasks. |
. | No information available |
|
Document Expiry Alerts Notifies users of expiring KYC/CND documentation. |
. | No information available |
|
Batch Processing Capabilities Number of simultaneous KYC/CDD checks that can be processed. |
. | No information available |
|
Dynamic Questionnaire Generation Generates tailored questionnaires for enhanced due diligence cases. |
. | No information available |
|
Ongoing Monitoring and Screening Continuous monitoring of customers for risk changes after onboarding. |
The product covers ongoing monitoring post-onboarding, as emphasized in the AML workflow. | |
|
Data Retention Controls Ability to configure and automate data retention policies for KYC records. |
. | No information available |
Anti-Money Laundering (AML)
(9 Yes /9 Known /11 Possible features)
|
Transaction Monitoring Engine Tool that scans transactions for suspicious patterns and generates alerts. |
Transaction monitoring engine is a primary feature – detects suspicious activity across transaction flows. | |
|
Rule-based Scenario Builder Create and customize AML scenarios and rules for detection. |
Scenario builder for risk scenarios and AML typologies is included with customizable rule sets. | |
|
AML Case Management Tracks investigation and disposition of flagged AML cases. |
Case management for tracking flagged transactions and managing disposition is included. | |
|
Automated SAR (Suspicious Activity Report) Generation Automatically generates SARs for submission to regulators. |
Automated SAR generation and tracking for regulatory reporting is part of the solution’s offering. | |
|
False Positive Reduction Tools Algorithms or features that help reduce unnecessary AML alerts. |
False positive reduction using advanced analytics is mentioned in product briefings. | |
|
Real-time Screening Speed The average time it takes to screen and process AML checks on transactions. |
No information available | |
|
Integration with Payment Gateways Allows AML engine to monitor all transaction types by integrating with payment and core banking systems. |
Integrates with various payment gateways and core banking systems as a key interoperability benefit. | |
|
Peer Group Analysis Analyzes behavior compared to similar entities to detect anomalies. |
. | No information available |
|
Behavioural Analytics Uses AI or statistical models to detect unusual customer activity. |
Behavioral analytics utilizing machine learning is a core differentiator for SAS in the AML space. | |
|
Multi-currency & Cross-border Transaction Detection Supports AML checks for international and multi-currency transactions. |
SAS AML emphasizes compliance for cross-border and multi-currency transaction monitoring. | |
|
Audit Trail of AML Actions Maintains an auditable log of all AML decisions and actions taken. |
Audit trails and comprehensive logs of AML actions are part of the solution (see compliance reporting functionality). |
Audit & Reporting
(0 Yes /0 Known /10 Possible features)
|
Automated Audit Trails Captures comprehensive logs of all user and system activity. |
. | No information available |
|
Customizable Report Generation Users can define and generate compliance reports tailored to specific regulatory or management needs. |
. | No information available |
|
On-demand Data Export Export of data for reporting or further analysis in multiple formats (CSV, PDF, etc.). |
. | No information available |
|
Scheduled Reports Ability to schedule regular reports for compliance review. |
. | No information available |
|
Automated Regulatory Filings Direct transmission of required reports to regulators via electronic means. |
. | No information available |
|
Report Customization Limits Maximum number of custom report templates users can define. |
. | No information available |
|
Data Retention Period Configuration Defines the configurable period for which audit log data is retained. |
. | No information available |
|
Exception Reporting Automatically highlights areas of concern or compliance failure in standard reports. |
. | No information available |
|
Interactive Dashboards Provides visuals and metrics on compliance status in real-time. |
. | No information available |
|
Audit Evidence Attachments Ability to attach supporting documentation to audit actions within the tool. |
. | No information available |
Workflow Automation
(0 Yes /0 Known /10 Possible features)
|
Custom Approval Flows Ability to design custom multi-stage approval workflows for compliance-related actions. |
. | No information available |
|
Task Assignment Automation System automatically assigns tasks to the appropriate personnel based on business rules. |
. | No information available |
|
Automated Remediation Actions Automates corrective actions for non-compliance or task failures. |
. | No information available |
|
Escalation Management Rules and mechanisms for escalating unresolved or overdue compliance actions. |
. | No information available |
|
Notification Engine Automated sending of alerts and reminders via email, SMS, or in-app messages. |
. | No information available |
|
Workflow Templates Library Pre-built templates for common compliance workflows. |
. | No information available |
|
SLAs for Compliance Tasks Ability to define Service Level Agreements for completion of compliance actions. |
. | No information available |
|
Parallel Processing Capabilities Number of workflow tasks that can be handled simultaneously. |
. | No information available |
|
Auditability of Workflow Changes Tracks and records all changes made to workflow structures. |
. | No information available |
|
Workflow Version Control Maintains a history of workflow iterations and allows rollbacks. |
. | No information available |
User Access & Security
(2 Yes /2 Known /10 Possible features)
|
Role-based Access Controls Only authorized users can access sensitive compliance functions. |
Role-based access control is a fundamental security feature for SAS AML. | |
|
Multi-factor Authentication Requires users to provide multiple credentials for added security. |
Multi-factor authentication supported for enhanced security, per documentation and compliance product FAQ. | |
|
Granular Permission Management Define fine-tuned permissions at the user or group level. |
. | No information available |
|
Single Sign-On Integration Supports authentication with enterprise SSO providers. |
. | No information available |
|
Session Timeout Settings Control the time of inactivity before automatic logout. |
. | No information available |
|
User Authentication Logs Activity logs tracking all login attempts and access times. |
. | No information available |
|
Security Certification Compliance System adheres to security standards such as ISO 27001 or SOC 2. |
. | No information available |
|
Encryption of Data at Rest and in Transit All sensitive data is encrypted both in storage and during transmission. |
. | No information available |
|
User De-Provisioning Automation Automatically removes access for users who no longer require it. |
. | No information available |
|
Access Request Workflow Automated requests and approvals for elevated access to compliance modules. |
. | No information available |
Data Management & Quality
(2 Yes /2 Known /10 Possible features)
|
Centralized Data Repository All compliance-related data is housed in a unified location. |
. | No information available |
|
Data Validation Rules Business rules that verify input and output data accuracy. |
Data validation, cleansing, and quality assurance processes are marketed as key data management capabilities. | |
|
Automated Data Cleansing Automatic identification and correction of incomplete, inaccurate, or irrelevant data. |
. | No information available |
|
Data Lineage Tracking Tracks the origin of compliance data through its lifecycle. |
. | No information available |
|
Data Quality Score Measure of completeness and accuracy across data sets. |
. | No information available |
|
Duplicate Data Detection System flags redundant or duplicate records. |
. | No information available |
|
Automated Backups Regular, automated data backups for disaster recovery. |
. | No information available |
|
Data Encryption Applies industry-standard encryption to protect all data. |
Documentation confirms encryption of data at rest and in transit as per industry standards. | |
|
Data Masking for Sensitive Fields Hides sensitive information from unauthorized users. |
. | No information available |
|
Data Export/Import Capabilities Allows bulk movement of compliance data into and out of the platform. |
. | No information available |
Integration & Interoperability
(1 Yes /1 Known /10 Possible features)
|
Core Banking System Integration Connects compliance tools directly to core banking platforms. |
. | No information available |
|
Open APIs Provides public and/or private APIs for third-party integration. |
SAS AML provides REST/SOAP APIs for integration with external systems. | |
|
Third-party Data Feeds Supports integration of external data sources (e.g., credit bureaus, sanctions databases). |
. | No information available |
|
Plug-in Architecture Supports adding external modules for expanded functionality. |
. | No information available |
|
Event Notification Webhooks System can send real-time notifications to external systems. |
. | No information available |
|
Bulk Data Synchronization Speed Maximum rate at which large data volumes can be synched. |
. | No information available |
|
Interbank Network Compatibility Supports compliance functionalities across multiple banking platforms/networks. |
. | No information available |
|
Document Management System Integration Links with DMS for seamless access to compliance documentation. |
. | No information available |
|
Email System Integration Ability to communicate compliance alerts and notifications via email systems. |
. | No information available |
|
Legacy System Compatibility Supports interoperation with older banking systems. |
. | No information available |
User Experience & Accessibility
(0 Yes /0 Known /10 Possible features)
|
Intuitive User Interface Designed for ease of use and fast task completion. |
. | No information available |
|
Multi-language Support Platform supports multiple languages for global teams. |
. | No information available |
|
Accessibility Compliance Adheres to accessibility standards such as WCAG for users with disabilities. |
. | No information available |
|
Role-based Dashboards Custom views for different user roles within the compliance process. |
. | No information available |
|
Mobile Access System accessible via smartphones and tablets. |
. | No information available |
|
User Onboarding Tutorials Integrated help and tutorial features for training new users. |
. | No information available |
|
Task Completion Metrics Average time taken by users to complete standard compliance tasks. |
. | No information available |
|
Customizable Homepages Ability for users to set personalized dashboards or landing pages. |
. | No information available |
|
Search and Filter Tools Advanced search and filter functions to locate compliance records and tasks. |
. | No information available |
|
In-app Support/Chat Built-in channel for user support or live chat. |
. | No information available |
Training & Knowledge Management
(0 Yes /0 Known /10 Possible features)
|
Integrated Policy Library Central repository for compliance policies and procedures. |
. | No information available |
|
Automated Training Reminders Notifies users when required training is due. |
. | No information available |
|
E-learning Module Integration System supports in-app or linked e-learning for compliance training. |
. | No information available |
|
Training Completion Tracking Tracks which users have completed mandatory training. |
. | No information available |
|
Certification Records Management Stores and manages certifications or proof of completion for compliance training. |
. | No information available |
|
Policy Version Control Tracks updates and maintains historical versions of compliance documents. |
. | No information available |
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Knowledge Base Search Advanced search functionality for the knowledge repository. |
. | No information available |
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Quiz/Assessment Tools Integrated tools for testing user understanding of compliance topics. |
. | No information available |
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Multi-media Content Support Supports multiple formats (text, video, audio) for training content. |
. | No information available |
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Feedback Collection from Training Enables users to provide feedback on training quality. |
. | No information available |
Continuous Improvement & Risk Management
(0 Yes /0 Known /10 Possible features)
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Compliance Risk Assessment Tools Enables assessment of compliance risk at entity, product, or process levels. |
. | No information available |
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Automated Gap Analysis Automatically identifies gaps in existing compliance controls. |
. | No information available |
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Corrective and Preventive Action (CAPA) Tracking Tracks completion and effectiveness of corrective actions. |
. | No information available |
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Compliance Calendar Central calendar for deadlines related to regulatory filings or policy reviews. |
. | No information available |
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Incident Management Logs and manages remediation of compliance incidents. |
. | No information available |
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Heatmap Generation Visualizes areas of compliance risk across entities or processes. |
. | No information available |
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Automated Remediation Recommendations Provides suggestions for closing compliance gaps. |
. | No information available |
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Continuous Control Testing Frequency The number of control tests the system can run automatically on a periodic basis. |
. | No information available |
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Key Risk Indicator (KRI) Monitoring Monitors leading indicators for early warning of compliance risks. |
. | No information available |
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Management Review Dashboard Special review dashboards for compliance managers or auditors. |
. | No information available |
Sanctions Screening Software for Treasury Compliance
Applications that check payment beneficiaries and financial counterparties against global sanctions lists to ensure compliance with international regulations.
More Sanctions Screening Software
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Sanctions List Coverage
(0 Yes /0 Known /10 Possible features)
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Global List Support Supports major international sanctions lists like OFAC, EU, UN, HMT, and others. |
. | No information available |
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Custom List Upload Allows organizations to upload and screen against their own internal or third-party lists. |
. | No information available |
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List Update Frequency Frequency at which sanctions lists are refreshed and updated. |
. | No information available |
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Watchlist Expansion Ability to expand coverage to PEP, adverse media, and other watchlists. |
. | No information available |
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Historical List Archiving Retains and allows screening against historical versions of sanction lists. |
. | No information available |
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Automated List Synchronization Automatically pulls updates from official sources without manual intervention. |
. | No information available |
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List Version Tracking Ability to track and report the version of lists used for each screening. |
. | No information available |
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Geographical Coverage Number of countries’ sanctions lists supported. |
. | No information available |
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Language Support for Lists Supports lists in multiple languages for global compliance. |
. | No information available |
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API-Accessible Watchlist Management APIs available for automated management and querying of watchlists. |
. | No information available |
Screening Capabilities
(0 Yes /0 Known /10 Possible features)
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Real-Time Screening Screens payments and counterparties instantly as transactions occur. |
. | No information available |
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Batch Screening Supports bulk screening of large numbers of transactions or counterparties. |
. | No information available |
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Name Matching Algorithm Quality Uses fuzzy logic, phonetic matching, and other methods to minimize false negatives/positives. |
. | No information available |
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Screening Speed The average time taken to screen a transaction or party. |
. | No information available |
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Unicode and Diacritic Support Handles names with various alphabets and non-Latin characters. |
. | No information available |
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Alias & AKAs Detection Identifies matches to aliases and also-known-as (AKA) entries. |
. | No information available |
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Multi-Field Screening Screening uses multiple data fields (name, address, date of birth, account number, etc.). |
. | No information available |
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Tolerance Configuration Adjustable thresholds for matching sensitivity. |
. | No information available |
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Partial Match Detection Detects partial matches for name permutations. |
. | No information available |
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AI/ML-Driven Screening Incorporates artificial intelligence/machine learning to improve screening accuracy. |
. | No information available |
Integration & Connectivity
(0 Yes /0 Known /10 Possible features)
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API Integration Supports integration with ERP/TMS/other fintech systems through APIs. |
. | No information available |
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Real-Time Data Sync Keeps entity/master data aligned with source systems in real time. |
. | No information available |
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File-Based Integration Supports secure file exchange (e.g., SFTP) for batch processes. |
. | No information available |
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Plug-ins for Treasury Management Systems Direct connectors for commonly used TMS solutions. |
. | No information available |
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Event-Driven Triggers Supports screening initiated by workflow/business events. |
. | No information available |
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Cloud Deployment Option Available as SaaS/cloud solution for remote/global access. |
. | No information available |
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On-Premises Deployment Option Available for on-site hosting to support data sovereignty or policy preferences. |
. | No information available |
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Support for Webhooks Can send notifications or data pushes on screening events. |
. | No information available |
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Enterprise SSO Support Allows single sign-on authentication with corporate credentials. |
. | No information available |
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Mobile Access Allows users to manage and review matches from mobile devices. |
. | No information available |
Compliance Management & Workflow
(0 Yes /0 Known /10 Possible features)
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Case Management Comprehensive management of hits, investigations, and resolutions. |
. | No information available |
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Alert Prioritization Automated risk scoring and prioritization of alerts. |
. | No information available |
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Bulk Case Processing Approve, reject, or escalate multiple alerts at once. |
. | No information available |
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Audit Trail Detailed records of all actions taken and user interactions. |
. | No information available |
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Evidence Attachment Attach supporting documents directly to screening cases. |
. | No information available |
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Case Escalation Workflow Automated escalation rules for high-priority or unresolved cases. |
. | No information available |
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Decision Justification Capture Ability to record the compliance officer’s reasoning for each action. |
. | No information available |
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Task Assignment and Collaboration Assign cases and collaborate between team members. |
. | No information available |
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Automated False Positive Suppression Identifies and suppresses recurring known false positives. |
. | No information available |
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Workflow Customization Configurable workflows to match corporate policy or regulatory requirements. |
. | No information available |
Reporting & Analytics
(0 Yes /0 Known /10 Possible features)
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Regulatory Reports Built-in reports tailored for external regulatory submission. |
. | No information available |
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Custom Report Builder Create custom analytical or operational reports. |
. | No information available |
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Hit Rate Statistics Monitors the proportion of screened entities or transactions generating alerts. |
. | No information available |
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Alert Processing Times Tracks the time taken from alert creation to resolution. |
. | No information available |
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Export Functionality Export data and reports to Excel, PDF, CSV, etc. |
. | No information available |
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Regulatory Change Impact Analytics Assesses potential impact of watchlist or regulation updates. |
. | No information available |
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Audit Log Exports Downloadable logs for external/internal auditing. |
. | No information available |
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KPI Dashboards Key compliance indicators visualized in dashboards. |
. | No information available |
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User Activity Reporting Detailed tracking and reporting on user actions. |
. | No information available |
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Automated Scheduled Reports Ability to schedule and automatically distribute reports. |
. | No information available |
User Experience & Accessibility
(0 Yes /0 Known /10 Possible features)
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Intuitive User Interface Modern and user-friendly web interface. |
. | No information available |
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Multi-Language Support User interfaces available in multiple languages. |
. | No information available |
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Role-Based Access Controls User permissions governed by roles and responsibilities. |
. | No information available |
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Accessibility Standards Compliance Meets accessibility standards (e.g., WCAG). |
. | No information available |
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Personalized Dashboards Customizable dashboards based on user or role. |
. | No information available |
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Contextual Help and Support Tools On-screen help, tooltips, and tutorials. |
. | No information available |
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Keyboard Shortcuts Efficiency features such as keyboard navigation. |
. | No information available |
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User Preference Settings Save and recall user preferences for interface and workflows. |
. | No information available |
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Mobile Responsiveness UI designed for usability on mobile and tablet devices. |
. | No information available |
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Bulk Actions on UI Ability to process multiple alerts or cases from the user interface. |
. | No information available |
Security & Data Protection
(0 Yes /0 Known /10 Possible features)
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End-to-End Encryption Data is encrypted during transfer and at rest. |
. | No information available |
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Multi-Factor Authentication Strong authentication options for system access. |
. | No information available |
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Data Masking Sensitive fields can be masked from non-authorized users. |
. | No information available |
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Granular Access Controls Fine-grained permissions to restrict data and function access. |
. | No information available |
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Audit Logging Records and retains all user activities for review and investigation. |
. | No information available |
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GDPR/CCPA Compliance Support Helps organization comply with data protection regulations. |
. | No information available |
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Data Retention Policies Configurable settings to define retention and purging of data. |
. | No information available |
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Vulnerability Management Regular security testing and patch management. |
. | No information available |
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Secure APIs All integrations use secure, authenticated API protocols. |
. | No information available |
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Incident Response Support Features to assist with detecting and managing security breaches. |
. | No information available |
Scalability & Performance
(0 Yes /0 Known /10 Possible features)
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Concurrent User Support Maximum number of users supported at the same time. |
. | No information available |
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Transaction Processing Capacity Number of transactions that can be processed per hour. |
. | No information available |
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Response Time SLA Service level agreement for maximum allowed response times. |
. | No information available |
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Dynamic Resource Allocation System can auto-scale resources based on demand. |
. | No information available |
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High Availability Architecture Designed for minimal downtime disruptions. |
. | No information available |
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Load Balancing Distributes screening workloads across multiple servers/nodes. |
. | No information available |
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Geographically Redundant Hosting Options for hosting in multiple global data centers. |
. | No information available |
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Disaster Recovery Capabilities Automated failover and data recovery features. |
. | No information available |
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Elastic Licensing License model supports easy scaling up/down. |
. | No information available |
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Zero Downtime Upgrades Software updates do not require service interruptions. |
. | No information available |
Regulatory Compliance & Audit
(0 Yes /0 Known /10 Possible features)
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Audit Readiness Built-in capabilities for supporting internal and external audits. |
. | No information available |
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Regulatory Certification/Assurance Compliance with industry standards (e.g., ISO 27001, SOC 2). |
. | No information available |
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Configurable Retention Policy Set, control, and audit retention of records as required. |
. | No information available |
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Evidence Preservation Ensures all steps, investigations, and outcomes are preserved for audits. |
. | No information available |
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Automated Compliance Checks Regular checks and diagnostics to ensure ongoing compliance. |
. | No information available |
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Change Management Logging Documents and stores all system configuration changes. |
. | No information available |
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Regulatory Change Notifications Proactive warnings on changes in regulatory watchlists or standards. |
. | No information available |
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Support for Regulatory Inquiries Tools to facilitate responses to regulatory agency queries. |
. | No information available |
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Legal Hold Functionality Ability to prevent data deletion due to impending investigations. |
. | No information available |
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Policy & Procedure Documentation Storage Store and manage related compliance documentation. |
. | No information available |
Support, Maintenance & Vendor Services
(0 Yes /0 Known /10 Possible features)
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24/7 Technical Support Access to around-the-clock technical help. |
. | No information available |
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Dedicated Account Manager Named representative for customer relationship management. |
. | No information available |
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User Training & Onboarding Systematic onboarding and periodic product training. |
. | No information available |
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Comprehensive Documentation User guides, technical specs, FAQs, and release notes. |
. | No information available |
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Regular Feature Updates Frequent enhancement and patch cycles. |
. | No information available |
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Community/User Forum Online community and peer support. |
. | No information available |
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Implementation Support Assistance with software deployment and integration. |
. | No information available |
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Custom Feature Requests Process for requesting bespoke enhancements. |
. | No information available |
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Multilingual Support Support offered in multiple languages. |
. | No information available |
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Service Level Agreements (SLAs) Clear commitments for service performance and bug fixes. |
. | No information available |
Cost & Licensing Flexibility
(0 Yes /0 Known /10 Possible features)
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Transparent Pricing Model Clear, predictable pricing structure with no hidden fees. |
. | No information available |
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Pay-As-You-Go Option Flexible usage-based pricing. |
. | No information available |
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Enterprise Licensing Option Flat-rate or unlimited use licenses for large organizations. |
. | No information available |
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Modular Pricing Ability to license just the features required. |
. | No information available |
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Free Trial/Proof of Concept Test the software before fully committing. |
. | No information available |
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Discounts for Volume or Multi-Year Commitments Reduced pricing for bulk or long-term engagements. |
. | No information available |
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Cloud/SaaS Subscription Model OPEX-friendly, as-a-service deployment. |
. | No information available |
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On-Premise Perpetual Licensing Traditional software license model supported. |
. | No information available |
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No Upfront Integration Costs Low or zero initial costs for configuration and setup. |
. | No information available |
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Scalable Cost Structure Total cost aligns with actual usage/growth. |
. | No information available |
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