Available Compliance Registers
Browse the full list of registers available with the Skillcast Learning Management System (LMS) to support your compliance.
Gifts and Hospitality
Personal Account (PA) Dealings
Expenses
Conduct Rules
Whistleblowing
Compliance Breach
RIDDOR Accident Book
RIDDOR Near-Miss Book
Personal Data Breach
Gifts and Hospitality
- Simplify the approval process for gifts and hospitality and encourage compliance with company policies
- Automate approval using predefined criteria to focus on more significant submissions
- Streamline analysis of suspicious patterns and audit trails, reduce administrative burden, and enhance compliance oversight
Personal Account (PA) Dealings
- Manage and monitor personal account dealings to prevent conflicts of interest
- Automated approval process, identification of potential irregularities, and establishment of comprehensive audit trails
- Ensure adherence to trading policies, mitigate risks of insider trading, and maintain regulatory compliance
Expenses
- Facilitate the submission, approval, and tracking of employee expenses
- Customisable criteria for auto-approvals, detection of unusual spending patterns, and detailed audit trails
- Streamline expense management, reduce processing time, and enhance financial oversight
Conduct Rules
- Monitor breaches of the FCA's conduct rules
- Simplify approval processes, detection of suspicious behaviour patterns, and creation of detailed audit trails
- Promote a culture of compliance with FCA rules, and facilitate prompt investigations into potential violations
Whistleblowing
- Enable users to anonymously report misconduct, unethical behaviour, or compliance concerns
- Support audit trail for follow-ups, and secure reporting channels
- Encourage a speak-up culture, protect whistleblowers, and enhance regulatory compliance
Compliance Breach
- Record and manage a variety of compliance breaches: money laundering, bribery, cybercrime, tax, environmental and other breaches
- Comprehensive forms to capture breach details, defined approval workflows, and audit trails
- Ensure timely reporting, and facilitate thorough investigations and reporting
RIDDOR Accident Book
- Maintain records of workplace accidents as required under RIDDOR (Reporting of Injuries, Diseases and Dangerous Occurrences Regulations)
- Form template based on the UK Health and Safety Executive (HSE) recommendation
- Enhance workplace safety, ensure regulatory RIDDOR compliance, and support audits
RIDDOR Near-Miss Book
- Maintain records of near-miss incidents as required under RIDDOR, and identify potential hazards before they lead to accidents
- Report form based on the HSE recommendation
- Encourage a proactive approach to workplace safety, ensure regulatory RIDDOR compliance, and support audit
Personal Data Breach
- Document personal data breaches in accordance with UK Information Commissioner's Office (ICO) guidelines to ensure data protection compliance
- Structured reporting form based on the ICO template
- Support GDPR compliance, audits and implementation of corrective actions