Monitor regulatory issues, reduce compliance risk

As the complexity and operational burden of financial services regulation increases, it is inevitable for issues within the compliance workflow to arise. Whether these are minor risk incidents, wider problems with underlying process, or failures ultimately leading to regulatory breaches, proper management of issues is essential to the well-being of your business.

The Axiom Issue and Breach Management offering is a dedicated software solution for financial services firms faced with the challenge of tracking regulatory issues and breaches. Its robust online workflow simplifies reporting, tracking and resolving issues with individual action plans and tasks that can be assigned to Axiom users.

Key features of the solution

Monitor regulatory issues, reduce compliance risk with Axiom Issue and breach management tool

Track breaches, issues and risk

Access breach workflows and history of changes for audits

Assign ownership and investigation responsibilities

Report on links to regulatory controls and procedure documents

Link issues to control failures, risks, processes and individual rules

Track detailed metrics like resolution time, issue severity

Design bespoke dashboards and reports using the MI suite

Integrate with other Axiom solutions for easy set-up and configuration

Customer Testimonials


Stable and user friendly interface

It is relatively low-cost with the user interface stable and user-friendly. The backup team from Axiom are easy to contact and within that team, there are CASS specialists who are recognised throughout the industry which gives us confidence in the advice and the solution that we are using.

Ticks all the boxes

The centralisation, the attestation and the resolution pack. It ticks all the boxes that we wanted to sign off.

Axiom openly committed to enhancing its product

It is refreshing to see a software provider that is so openly committed to enhancing its product.

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Industry-leading regulatory compliance solutions

Axiom HQ provides regulatory compliance solutions designed to help you demonstrate and evidence compliance using Axiom platform’s comprehensive rules-mapping, risk and control tools, automated reporting features and powerful dashboards.

Axiom HQ is a trusted partner of the top financial services companies