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Implementing proportionate, risk-based supervision.

Conducting oversight functions proportionate to the level of risk, nature, scale, and complexity of supervised entities enables financial supervisors to allocate scarce resources where they are most needed.

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Data Collection

Given the role of data in risk-based supervision, it is crucial that supervisors have an effective and efficient data collection process.

Risk Management

Configure risk profiles, conduct risk assessments, and monitor key risk indicators to systematically identify, measure and monitor risks.

On-Site Examination

A web-based solution to automate and manage every aspect of the on-site examination process.

Off-Site Monitoring

Enabling supervisors to conduct off-site monitoring automatically and proportional to the risk level of the regulated entity.

Risk-Based Supervision

Despite best intentions and the introduction of new and innovative technologies, supervision can often be ineffective and a one-size-fits-all approach doesn't utilize continuous learning or understanding evolving risks. Effective risk-based supervision focuses on conducting oversight functions proportionate to the level of risk, nature, scale, and complexity of supervised entities, enabling financial supervisors to allocate scarce resources where they are most needed.

The SQL Power Suite enables supervisors to configure risk profiles, conduct risk assessments, and monitor key risk indicators to systematically identify, measure and monitor risks. The system automatically generates reporting windows or launches on-site examinations based on key metrics that have been specified within the system, proportional to the level of risk of each regulated entity. This enables supervisors to monitor how risks are evolving, identify emerging risks and proactively address them, mitigating any risks to supervisory objectives.

Data Collection

Given the role of data in risk-based supervision, it is crucial that supervisors have an effective and efficient data collection process. Whether an organization is facing challenges like low data quality intake, obsolete data collection forms, or time-consuming manual financial data procedures, SQL Power automates and simplifies every aspect of data collection.

The solution can replicate existing financial returns in our online forms facility, make all required changes to meet current standards, add any missing validation rules, and roll them out to your regulated entities. Effectively launching a system-wide standard and an automated web-forms-based reporting platform that virtually eliminates the need for manual reviews, rejections, and resubmissions; ensuring that only complete, consistent, and accurate data is ever submitted to the regulator.

Risk Management

SQL Power offers a pre-built risk management solution that provides supervisors critical risk assessment tools to empower them with better decision making and to address risk in a systematic manner.

The risk management framework, effective risk-based supervision, provides financial regulators with fully integrated business intelligence tools, dashboards (CAMEL & CARAMEL), an on-site examination module, and predictive modeling to derive a risk rating for each organization.

On-Site Examination

The SQL Power Suite offers supervisory teams a web-based solution to automate and manage every aspect of their regulatory on-site examination processes and functions, providing a consolidated view of all relevant regulatory data within a single risk-based supervision platform.

A computer screen with a screenshot from SQL Power Suite's designer facility showing a simple onsite examination process for financial regulators

Off-Site Monitoring

The solution enables supervisors to conduct off-site or ongoing monitoring with the automatic generation of reporting windows or returns based on key metrics that have been specified within the system, proportional to the level of risk of the supervised institution. Within seconds of an industry submission, the system quickly assesses its adherence to predefined acceptable thresholds for key risk metrics and highlights any weak submissions; allocating scarce resources to specific concerns or supervised entities that have been identified.

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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.

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