Risk-Based Compliance

Software modules and components for regulatory compliance

Compliance Suite

Software for managing regulatory compliance

Regulatory compliance comprises a whole range of topics that need to be managed according to the risk based approach: Anti-Money Laundering, Prevention of Market Abuse, Know-Your-Customer, Sanctions Lists Screening, and Embargo Monitoring.

To make use of integrated compliance management, it is mandatory to cross-link these areas and to implement the risk-based approach. That means: Concentrate resources on analyses and investigation exactly where the risks are.

The ACTICO Compliance Suite comprises five software modules which can be used in one interface:

  • Anti-Money Laundering (MLDS)
  • Sanctions Lists Screening (Name Matching Customer)
  • Transaction Monitoring (Name Matching Transaction)
  • Prevention of Market Abuse and Insider Trading
  • Managing Conflicts of Interest

Additional software components such as an authorization scheme, document management, and workflows are available in all modules mentioned above. The Compliance Suite also delivers standard rules, which can be adapted by banks and financial service providers according to their business model.

Risk-based Compliance 

Revision-proof, flexible and agile

Modular design 

Individually adaptable

All in one

Technical & compliance-oriented software components


The Compliance Suite at a Glance

Compliance Suite at a glance

Top Features of the Compliance Suite Modules

Money Laundering Detection System

Money Laundering Detection System

Payments are checked by transaction monitoring. Conspicuous customer behavior is recognized.

Customer or transaction data are assessed in a risk classification, forming the basis of the risk-based approach.

Name Matching Customer

Name Matching Customer

The customer base is regularly cross-checked against internal and external black lists.

The visual comparison of similarities facilitates the verification of potential hits.

Name Matching Transaction

Name Matching Transaction

Name Matching Transaction checks unusual transactions and, if necessary, stops before they are executed.

All checklists and guidelines can be imported, updated and administered in NMT.

Market Abuse & Insider Dealing Detection

Market Abuse & Insider Dealing Detection

MAID recognizes market abuse and insider dealings.

Legal requirements and company guidelines are displayed in business rules. 

Management of Conflicting Interests

Management of Conflicting Interests

MCI recognizes existing or potential conflicts of interest.

Conflicts of interests can be clarified in MCI via a workflow.

Compliance Agility Package

Departments can flexibly and independently adapt rules and create new ones.

The advantage: quickness and independence in adapting business rules.

"ACTICO provided us with software that enabled us to be proactive and not just reactive."
Stefanie Ginger, Compliance Officer from LGT


More efficient processes

By automating the individual modules in the Compliance Suite processes are efficiently collected and analyzed.

Higher transparency

The audible documentation allows to follow up high transparency over processes.

Minimized clarification efford

The graphical representation of the process  limited the declaration requirements to a minimum through ACTICO Rules. 

Positive effect on image

Your company arranges outward security and transparency by using a auditable software. 

More security

The margin of error in automated process operations is only a small percentage part compared to conventional methods.

Cost reductions

Through to the graphical user interface, new regulations can be designed by internal members itself and the cost can be saved to external specialists even without having special IT.

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