Simple, intuitive and logical to use, Cerberus is our solution for the SMCR:

Delegation and Oversight –clearly shows what responsibilities individuals have accepted, evidence of meeting those responsibilities and when they have been met;

Governance–shows overall governance committee structure and management responsibilities map;

Evidence–demonstrates how reasonable steps and statutory responsibilities are being met (allows inclusion of attachments and commentary);

Assurance–built in activity log to ensure a clear and discoverable audit trail that cannot be deleted or amended;

Protection–for the firm and the individual (even after they are no longer SMFs). When regulators ask for information, it can be easily provided for individuals, issues and for specific times;

Certification–manages the entire certification process;

Record-keeping and reports - Cerberus will act as a firm’skey repository and live record-keeping system for the SMCR. It will also allow for the creation of reports and analytics;

Issue Management –shows how ad hoc issues and regulatory projects are delegated and managed through to completion; and

Saves time and money –no more compiling multiple spreadsheets. More time to focus on dealing with issues.

Future versions of Cerberus will cater specifically for other individual accountability regimes around the world including in the EU, USA, MENA and APAC.

Insight and Kaplan Performance Academy have worked together to develop a unique Culture & Conduct assessment tool to help firms identify the knowledge, skills, attitudes and behaviours that help or hinder a positive culture around conduct.

The confluence of Insight’s expertise in the regulatory and compliance world, and Kaplan’s in learning science and cultural change, has produced a tool that will change how firms assess conduct and culture; and more importantly, how they understand it and how they then use that understanding to create effective and sustainable change.

Measuring Confidence vs. Culture & Conduct

C-CAT is confidence based and will help firms identify and measure critical gaps between employees’ confidence in their own conduct in scenarios relevant to your firm;

In other words, what they actually do versus what they think they should.

Real Results…Bespoke to Your Firm

C-CAT’s approach takes quantitative and qualitative results to provide a comprehensive analysis and assessment of where your firm’s culture is;

Data-driven insights into culture and conduct gaps to prioritise and target the areas where change is needed as well as suggested actions;

Heat maps to identify, prioritise, and target development;

Clear identification of individuals and groups who require training and the necessary type of training; and

Detailed measurements of both pre- and post-training effectiveness.