Regulatory Disclosure Processes

Managing public disclosure of proprietary information is a burden for many organizations, whether it’s the legal industry, financial service sector, or healthcare industry, complying with regulations such as Sarbanes Oxley. To reduce the chance that proprietary information is mistakenly disclosed, you must implement a standardized system that reduces the risk of information falling into the wrong hands.

Nutrient Workflow provides a consistent, secure, auditable workflow for any compliance system. Enforce consistent regulatory compliance processes to match your organization’s or department’s policies and procedures. As compliance regulations continue to increase in both number and scope, the automation of compliance-related workflows has become critical. Whether you need to comply with Sarbanes-Oxley, ISO Standards, the Gramm-Leach-Bliley Act, HIPAA, SEC, FINRA, OCC, internal security protocols, or any other compliance requirements, workflow automation allows you to build compliance workflows that provide a safety net for your organization.

Nutrient Workflow Can Automate Regulatory Disclosure Processes

Regulatory disclosures related to financial reporting, data privacy, information security, and many other areas should follow a consistent, standardized path from discovery to publishing. These steps can be identified, automated, and assigned using Nutrient Workflow’s drag-and-drop process builder.

Notifications, reminders, and escalations can be configured for any task in the disclosure process to ensure action is taken efficiently and appropriately.

The process typically involves identifying the applicable regulations and requirements, gathering and reviewing the necessary information, and submitting the appropriate disclosures to the relevant regulatory bodies. These larger tasks can be broken down into specific sub-tasks that trigger as each sub-task completes. Documentation can be uploaded, reviewed, versioned, and signed off on.

For instance, an alert can be sent to specific stakeholders to supply information using a form and attaching relevant documents. Once the information is captured, the completed form is routed to the appropriate reviewer or group of reviewers using the required fields and pre-filled information. If approved, the information moves to the next stage; if rejected, it can be returned to the submitted for additional or different information.

To ensure compliance, it’s essential to have an auditable process that can enforce the necessary controls and approvals and the ability to time, date, and user stamp each approval. Workflow automation solutions like Nutrient Workflow can help organizations streamline regulatory disclosure processes and reduce non-compliance risk.

All data gathered during the process can be pushed into a centralized Regulatory Book of Record (RBOR) to reduce manual aggregation.

Read more about how Workflow Automation and Compliance work together on our blog:

• Ensuring Internal Controls with Workflow Automation

• Every Compliance Officer’s Best Friend: Automated Compliance Workflow

• Reduce “Failure to Supervise” Risk with Workflow Automation

Read how some of our customers have used Nutrient Workflow to address compliance issues:

• BP

• Exacto

Learn More about Nutrient Workflow’s Workflow Automation Solution

With Nutrient Workflow, companies can now ensure that these controls are enforced, and regulatory disclosure processes are met. Nutrient Workflow allows companies to define their disclosure approval processes quickly and easily.

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