Compliance teams within different organizations spread across industry verticals, work towards achieving regulatory requirements through different regulatory compliance, control assurance and monitoring programs. Part of their responsibility is also to manage and respond to regulatory interactions such as information, investigation and inspection requests, meeting notes and outcomes, formal orders and other correspondences.
The purpose of this offering is to streamline the process of organization’s interactions with regulatory bodies thereby enabling them to efficiently maintain a repository of such requests along with their responses and ensure organizational readiness towards meeting underlying compliance requirements through other linked assurance processes.
Key Features
The HCL Regulatory Interactions Management app-pack provides organizations a way to:
- Register regulatory interactions, identify internal respondents, and track responses to closure
- Consolidate responses and track supporting evidence
- Track approvals for external communication readiness
- Trigger regulatory reviews, policy change requests, findings, associated actions and impacted risks and controls
Benefits
- Streamline the process of the organization’s interactions with regulatory bodies
- Efficiently maintain a repository of requests along with their responses
- Ensure organizational readiness towards meeting underlying compliance requirements
Prerequisites
This offering requires the RSA Archer Issues Management use case. In addition, the following core applications found within the RSA Archer Enterprise Catalog package are required for this offering:
- Business Unit
- Company
- Division
- Contacts
The offering can also link regulatory interactions to existing compliance risks via a cross-reference to the following optional applications:
- RSA Archer Corporate Obligations Management
- Regulatory Intelligence Items
- Regulatory Intelligence Review
- RSA Archer Policy Program Management
- Policy Change Requests
- Control Standards
- RSA Archer Risk Catalog
- Risk Catalog
Supported Platform Version
The HCL Regulatory Interactions Management app-pack was developed for and validated on RSA Archer Platform release 6.6 P1 HF1.
RSA Archer On-Demand Application (ODA) Licenses
Three (3) RSA Archer On-Demand Application (ODA) licenses are required for the HCL Regulatory Interactions Management app-pack.
Additional licensing fees will also apply. To learn more, please contact HCL Technologies at CFS-GRC-PMG@hcl.com.
For More Information
To learn more about the HCL Regulatory Interactions Management app-pack:
- Review the Implementation Guide; and
- Learn how to obtain the HCL Regulatory Interactions Management app-pack Installation Package.
For Additional Support
To learn more about HCL Technologies, please contact CFS-GRC-PMG@hcl.com. For technical support questions, please contact CFS-GRC-PMG@hcl.com.
