Success stories
A large World Bank facing regulatory constraints
HSBC came to ROK with an access and compliance problem linked to outdated procedures in a highly regulated environment. Because no market solution came close to being able to deal with complex banking environments, HSBC was stuck with illegible procedures, high error rates and costly manual adjustments.
by 2020, and the largest in Europe
in France
in France
Certified accounts and procedures
No IT dependency to update workflows
Financial and legal risk of fraud and compliance controlled
1When compliance becomes everyone’s business
Today at HSBC, ROK brings together
7,000 agents
- Front-office and back-office
- Managers (regulatory, legal)
- Process owners
Around a single repository of the bank’s
1,300 business procedures
- Facilitating compliance with regulatory obligations imposed by the French Prudential Supervision and Resolution Authority
- For retail banking (RBWM), corporate banking (CMB), private banking and insurance teams
- More than 1,300 procedures to which more than 2,000 documents are attached describing the operations carried out in branches, at headquarters and in offshore back offices (Poland, India, Egypt)
2All of this in a single ROK modern user interface
Taking into account the rights of the 7,000 collaborators to visualize the contents, according to their organizational connection, or their scope of responsibility.
Map and document business procedures
Break procedures down into tasks
Powerful search engine
3ROK’s implementation was awarded
1st Prize of the « Trophée Finance Innovation »
because of its unique support for Pillar II of Basel III.
« This company is developing an extremely important activity for the financial center and will serve banking and financial companies a lot in their work. Here are the reasons that led to this choice [to give the trophy to ROK Solution]. »
Arnaud de Bresson, Finance Innovation, CEO
Making the repository accessible to auditors
Recording
ROK logs each action performed by users authorized to modify content.
Versioning
The procedures are versioned at each publication facilitating the application of ISO 9001 good practices.
Free access to the repository
Both internal and external auditors have free access to the repository, offering a transparent audit framework that goes beyond the requirements of Basel III.
Easily verify the evolution
Auditors can easily verify the evolution of the bank’s activities in compliance with changing regulations.
Continuous control
The publication process, involving key employees, offers continuous control adapted to the bank’s internal organization.
A guarantee of transparency
The 1,300 procedures of the repository are regularly audited, by both internal and ACPR auditors. A guarantee of transparency beyond the requirements of banking supervisory authorities.
