Use Case - Banking Regulation Tracking




  • Existing PDF abased forms were difficult to maintain and creating new applications was time consuming
  • Compliance Processes lacked transparency, consistency and accountability to appropriately support A-IRB and OFSI requirements
  • Compliance reporting capabilities did not include the breadth of reporting that is required by OSFI and reporting was open to interpretation and requierd significant manual data manipulation


  • An architecture based on AEM Adaptive Forms and back-end data integration for reglatory compliance processes
  • Common workflow elements to allow for simplified processes automation
  • Ongoing support and services to assist with forms maintenance and implementation of best practices


  • A framework that allows for the implementation of required regulatory processes with reduced effort
  • Initial processes include Foreign Account Tax Compliance Act (FATCA) and Internal Reporting on Out of Order (non-compliant) transactions to comply with A-IRB and OSFI requirements
  • These implementations will ensure that the bank is compliant while reducing the effort required to maintain compliance