Regulatory Case Management, Investigations & Complaints

Fully automate all Change Requests and Complaint forms which upon initial review can launch investigative processes to resolve any concerns or reported issues utilizing SQL Power’s comprehensive regulatory case management capabilities.

Automatically reflect any Change Requests in the organization’s latest 360-degree view. Complaint processing takes full advantage of the SupTech Hub’s comprehensive case management capabilities, allowing users to send notifications, schedule review meetings, make manual or automated decisions, assign fieldwork to investigators, prepare final reports, levy penalties or fines, and collect payments and can even accommodate appeals processes.

Regulatory Case Management Solution

SQL Power's flexible and robust case management module allows regulators to mimic their desired investigation business processes. All data gathered through the investigation process is accessible via our 360-Degree Organization view providing a single view of all gathered data for each investigation.

How a Unified Regulatory Case Management System Improves Processes

Increased Efficiency

Streamline and standardize workflows, reducing manual effort and processing time. With automated case management, financial regulators can handle a higher volume of cases in less time, enabling them to be more responsive and proactive in addressing issues.

Improved Accuracy

Reduce the risk of errors or inconsistencies in case data, which can improve the accuracy of regulatory decisions while ensuring compliance with regulatory requirements and reporting standards.

Enhanced Transparency

Automated case management can provide regulators with real-time visibility into case data and status, enabling them to monitor progress and identify potential bottlenecks. This transparency can also help regulators demonstrate their effectiveness and accountability clearly to stakeholders.

Better Collaboration

Facilitate collaboration and communication among regulatory teams, enabling them to share information, assign tasks, and track progress more efficiently. This collaboration can also promote consistency and best practices with enhanced decision-making.

Regulatory Case Management & Onsite Examinations

Depending on the nature of the complaint or investigation, occasionally the investigation team will need to perform an onsite inspection in order to obtain a comprehensive assessment of the regulated entity and its internal procedures that lead to this case.

SQL Power’s Onsite Examination module offers investigative teams a web-based solution to automate and manage every aspect of the onsite inspection process.

From choosing proportionate inspection activities relative to the associated risk profile of the inspected entity to inspection lead assignment, to team selection, to notifications, to pre-inspection reports, to scheduling internal reviews and kick-off meetings, to developing a more in-depth understanding of the supervised financial institutions, to anticipating future impacts from past and present figures to making recommendations, imposing limitations/conditions and other remedial activities when corrective measures need to take place.

All these recommendations, limitations, and conditions are monitored by the offsite examination team, through the 360-degree Organizational profile, and limitations are either lifted due to compliance or further sanctions, penalties, or restrictions are imposed on the entity for ongoing non-compliance.

Effortless Integration

SQL Power’s Case Management module is designed to easily integrate with existing core CRM and governance systems, leveraging existing data and technology investment for seamless integration. Our solution can be configured to easily evolve with global onsite inspection standards and guidelines thus future-proofing your organization. Finally, our experienced team of engineers will work within your business scale to ensure that our implementation is smooth and functionally sound.

Adopt a Robust and Unified Case Management Solution

Experience end-to-end automation of all your complaints, requests, investigations, and much more with an integrated case management solution.


Protect Data with a Secure Online Submission Portal

Improve efficiency by collecting information through an easy-access web portal. Gather complete and consistent data with cell-by-cell validation capabilities anytime, from anywhere.



Automatically Generate Pre-Inspection Forms & Final Inspection Reports

Collect and store reports and associated attachments in a dedicated document management system. Generate final inspection reports with findings and recommendations. Circulate final inspection reports for final reviews and acknowledgments.



Reduce Manual Intervention with Automated End-to-End Workflows

Replicate your existing business process workflows. Establish multi-step approval processes and easily circulate to the necessary departments. Automatically generate certificates as proof of registration for the applicant.



Improve Efficiency with Built-in Electronic Signature & Payment Collection

Store original electronic signatures in a secure eVault. Collect payments for fines, infractions, or penalties via an integrated payment portal.



Gain Important Insights with In-Depth Reporting & Analytics

Gain insight to make smart decisions, identify bottlenecks, and discover opportunities for process optimization.



Centralize Information with a 360-Degree Organizational View

Access all information including licenses, senior staff, shareholders, related organizations, communications, and payment history. Information is automatically updated from submissions from the entity organization.



Questions? We're here to help you every step of the way. Let's talk.

Questions? We're here to help you every step of the way. Let's talk.

Ask us about our SupTech solutions, implementation options, or anything else. Our expert team is standing by, ready to help!