際際滷

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Wesley Moore, CEO
Wesley.Moore@Quarule.com	
 油	
 油	
 油
+1-足704-足231-足3871	
 油
Mark Linehan, CTO
Mark.Linehan@Quarule.com	
 油	
 油
+1-足914-足471-足6205	
 油
Automating Compliance
Controls Programs
息	
 油2014-足2016	
 油Quarule,	
 油Inc.	
 油-足	
 油Con鍖denHal	
 油&	
 油Proprietary	
 油	
 油	
 油 2	
 油
We	
 油automate	
 油controls,	
 油
required	
 油cer-鍖ca-ons,	
 油and	
 油
work鍖ows	
 油
Quarule	
 油Drives	
 油Automa-on	
 油With	
 油	
 油
Computable	
 油Regula-ons	
 油And	
 油Policies	
 油
	
 油
	
 油
We	
 油鍖nd	
 油and	
 油explain	
 油viola-ons	
 油
using	
 油the	
 油rule	
 油logic	
 油
Bene鍖ts	
 油
≒ Decreased	
 油Cost	
 油
≒ Reduce	
 油Risk	
 油
≒ Increased	
 油Capacity	
 油
Reforms	
 油Have	
 油Just	
 油Begun	
 油
Target	
 油Market	
 油 $50	
 油billion	
 油U.S.	
 油market	
 油in	
 油Financial	
 油Services	
 油for	
 油risk	
 油and	
 油compliance	
 油
	
 油
$40	
 油billion,	
 油the	
 油average	
 油annual	
 油鍖nes	
 油and	
 油se[lements	
 油in	
 油the	
 油U.S.	
 油
	
 油
Customers	
 油
Compliance	
 油
Problem	
 油
Current	
 油state,	
 油95%+	
 油intensive	
 油manual	
 油oversight	
 油work	
 油
	
 油
Current	
 油technology	
 油does	
 油not	
 油address	
 油the	
 油scale	
 油of	
 油the	
 油problem	
 油
	
 油
Regtech	
 油is	
 油cool,	
 油but	
 油addresses	
 油less	
 油than	
 油5%	
 油of	
 油the	
 油problems	
 油
	
 油
Customers	
 油
Compliance	
 油
Threats	
 油
Most	
 油are	
 油under	
 油regulatory	
 油consent	
 油orders	
 油
	
 油
Unprecedented	
 油rate	
 油of	
 油global	
 油regulatory	
 油change	
 油
	
 油
Global	
 油shortage	
 油of	
 油quali鍖ed	
 油sta鍖	
 油
息	
 油Quarule,	
 油Inc.	
 油-足	
 油Con鍖denHal	
 油 3	
 油
Lowers	
 油costs	
 油
	
 油Accelerates	
 油surveillance	
 油
Summarizes	
 油regulaHons	
 油and	
 油policies	
 油
	
 油Explains	
 油controls	
 油and	
 油alerts	
 油
Expands	
 油and	
 油鍖exs	
 油as	
 油needs	
 油change	
 油
	
 油Retains	
 油resoluHon	
 油and	
 油raHonale	
 油
Provides	
 油alert	
 油audit	
 油trail	
 油
	
 油Enterprise,	
 油cloud	
 油	
 油or	
 油desktop	
 油
息	
 油2014-足2016	
 油Quarule,	
 油Inc.	
 油-足	
 油Con鍖denHal	
 油&	
 油Proprietary	
 油	
 油	
 油 4	
 油
Quarule	
 油automa-on	
 油
Basis	
 油for	
 油Our	
 油Business	
 油Value	
 油
More	
 油controls,	
 油less	
 油-me,	
 油faster	
 油resolu-ons	
 油
Today	
 油
IniHal	
 油Quarule	
 油project	
 油
Using	
 油full	
 油Quarule	
 油
knowledge	
 油base	
 油
5	
 油息	
 油Quarule,	
 油Inc.	
 油-足	
 油Con鍖denHal	
 油
Create	
 油 Implement	
 油 Execute	
 油 Audit	
 油
Days	
 油 Months	
 油Weeks	
 油
C	
 油 I	
 油 E	
 油 A	
 油
C	
 油 I	
 油 E	
 油 A	
 油
Quarule	
 油Addresses	
 油the	
 油Whole	
 油	
 油
Compliance	
 油Life	
 油Cycle	
 油
息	
 油2014-足2016	
 油Quarule,	
 油Inc.	
 油-足	
 油Con鍖denHal	
 油&	
 油Proprietary	
 油	
 油	
 油 6	
 油
Interpret	
 油
Rule	
 油(s)	
 油
Build	
 油
Control	
 油(s)	
 油
Execute	
 油
Control	
 油(s)	
 油
Escalate,	
 油
Track	
 油&	
 油
Resolve	
 油
CerHfy	
 油
Compliance	
 油Program	
 油Func-ons	
 油
≒Manual	
 油
work鍖ows	
 油
≒Lack	
 油of	
 油
automated	
 油
no-鍖ca-ons	
 油
≒Hard	
 油to	
 油link	
 油
back	
 油to	
 油
policy/rules	
 油
What	
 油are	
 油the	
 油Problems	
 油Today	
 油
息	
 油2014-足2016	
 油Quarule,	
 油Inc.	
 油-足	
 油Con鍖denHal	
 油&	
 油Proprietary	
 油	
 油	
 油 7	
 油
≒Piles	
 油of	
 油text	
 油
documents	
 油
≒Hard	
 油to	
 油track	
 油
and	
 油manage	
 油
≒Loss	
 油of	
 油
knowledge	
 油
capital	
 油
≒Communica-on	
 油
challenges	
 油in	
 油
requirements	
 油
engineering	
 油
≒Manual	
 油
programming	
 油
Interpret	
 油
Rule	
 油(s)	
 油
Build	
 油
Control	
 油(s)	
 油
Execute	
 油
Control	
 油(s)	
 油
Escalate,	
 油
Track	
 油&	
 油
Resolve	
 油
CerHfy	
 油
≒Manual	
 油
≒Tons	
 油of	
 油
spreadsheets	
 油
≒High	
 油false	
 油
posi-ves	
 油
≒Black	
 油box	
 油
algorithms	
 油
≒Term	
 油paper	
 油
project	
 油
≒Inability	
 油to	
 油
drill	
 油down	
 油
≒	
 油Lack	
 油of	
 油
鍖exibility	
 油
≒Increasing	
 油
risks	
 油
Compliance	
 油Program	
 油Func-ons	
 油
Drive	
 油work鍖ows	
 油
Track	
 油progress	
 油
Plan	
 油resources	
 油
Quarule	
 油Solu-ons	
 油
息	
 油2014-足2016	
 油Quarule,	
 油Inc.	
 油-足	
 油Con鍖denHal	
 油&	
 油Proprietary	
 油	
 油	
 油 8	
 油
Capture	
 油Rules	
 油	
 油
rule	
 油knowledge	
 油
business	
 油info	
 油
Specify	
 油Controls	
 油
control	
 油procedures	
 油
viola-on	
 油scenarios	
 油	
 油
Interpret	
 油
Rule	
 油(s)	
 油
Build	
 油
Control	
 油(s)	
 油
Execute	
 油
Control	
 油(s)	
 油
Escalate,	
 油
Track	
 油&	
 油
Resolve	
 油
CerHfy	
 油
Compliance	
 油Program	
 油Func-ons	
 油
Find	
 油Viola-ons	
 油
Explain	
 油alerts	
 油
Show	
 油audit	
 油trail	
 油
Cer-fy	
 油Program	
 油
Su鍖ciency	
 油
E鍖ec-veness	
 油
PROGRAM	
 油BUILDER	
 油 INVESTIGATOR	
 油 PROGRAM	
 油MANAGER	
 油
Handles	
 油all	
 油controls	
 油and	
 油drives	
 油programs	
 油	
 油
	
 油If	
 油its	
 油a	
 油rule,	
 油we	
 油capture	
 油and	
 油apply	
 油it	
 油
Quarule	
 油can	
 油produce	
 油new	
 油products	
 油quickly	
 油
	
 油If	
 油its	
 油not	
 油out	
 油of	
 油the	
 油box,	
 油well	
 油add	
 油it	
 油
Quarule	
 油provides	
 油evidence	
 油and	
 油transparency	
 油
	
 油Every	
 油answer	
 油has	
 油a	
 油reason	
 油	
 油
息	
 油2014-足2016	
 油Quarule,	
 油Inc.	
 油-足	
 油Con鍖denHal	
 油&	
 油Proprietary	
 油	
 油	
 油 9	
 油
Quarule	
 油Di鍖eren-ators	
 油
Our	
 油Three	
 油Compliance	
 油PlaYorm	
 油Components	
 油
InvesHgator	
 油 Program	
 油Manager	
 油
0100
1101
1010
0100
1101
1010
0100
1101
1010
0100
1101
1010
0100
1101
1010
0100
1101
1010
	
 油
Accounts,	
 油Trades,	
 油LEs,	
 油Products,	
 油etc.	
 油
Builder	
 油
10	
 油息	
 油2014-足2016	
 油Quarule,	
 油Inc.	
 油-足	
 油Con鍖denHal	
 油&	
 油Proprietary	
 油	
 油	
 油
Governance	
 油Areas	
 油
Core	
 油Plakorm	
 油
Data	
 油ConnecHons	
 油
Quarule	
 油Delivers	
 油
	
 油Expanded	
 油Capacity	
 油	
 油	
 油High	
 油Accuracy	
 油	
 油	
 油Risk	
 油and	
 油Cost	
 油Control	
 油
	
 油
11	
 油息	
 油2014-足2016	
 油Quarule,	
 油Inc.	
 油-足	
 油Con鍖denHal	
 油&	
 油Proprietary	
 油	
 油	
 油
Manual	
 油compliance	
 油acHvity	
 油is	
 油high	
 油risk	
 油
	
 油Each	
 油automaHon	
 油provides	
 油high	
 油returns	
 油
Compliance	
 油is	
 油core	
 油to	
 油business	
 油growth	
 油
	
 油Customer	
 油are	
 油a鍖ected.	
 油	
 油
Every	
 油violaHon	
 油is	
 油found	
 油out	
 油
	
 油Hotlines,	
 油auditors,	
 油complaints,	
 油plainH鍖s	
 油
Compliance	
 油is	
 油a	
 油blind	
 油spot	
 油
	
 油99%	
 油manual,	
 油95%	
 油false	
 油posiHves,	
 油hidden	
 油
liabiliHes,	
 油growth	
 油constraints	
 油
息	
 油2014-足2016	
 油Quarule,	
 油Inc.	
 油-足	
 油Con鍖denHal	
 油&	
 油Proprietary	
 油	
 油	
 油 12	
 油
Why	
 油Own	
 油Compliance	
 油Solu-ons?	
 油
油Four	
 油Elements	
 油of	
 油a	
 油Solu-on	
 油
Quarule	
 油Reasoner	
 油
for	
 油SemanHc-足rules	
 油	
 油
Knowledge	
 油
and	
 油Rules	
 油
Databases	
 油
Unstructured	
 油
Data	
 油
Data	
 油feeds/
documents	
 油
Results	
 油in	
 油Eclipse-足based	
 油
IDE	
 油
Results	
 油in	
 油webapp	
 油
Results	
 油in	
 油semi-足
structured	
 油formats	
 油
Manual or Automated Input! Automated Reasoning! Possible Outputs!
Delivered	
 油as	
 油a	
 油Java	
 油
API,	
 油as	
 油part	
 油of	
 油an	
 油IDE,	
 油
or	
 油as	
 油an	
 油applicaHon	
 油
server.	
 油
13	
 油息	
 油2014-足2016	
 油Quarule,	
 油Inc.	
 油-足	
 油Con鍖denHal	
 油&	
 油Proprietary	
 油	
 油	
 油
THANK	
 油YOU	
 油
WWW.QUARULE.COM	
 油
AutomaHng	
 油Compliance	
 油CerH鍖caHon	
 油and	
 油Surveillance	
 油	
 油
14	
 油息	
 油2014-足2016	
 油Quarule,	
 油Inc.	
 油-足	
 油Con鍖denHal	
 油&	
 油Proprietary	
 油	
 油	
 油
Ad

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Ad

Automating Compliance Controls Programs

  • 1. Wesley Moore, CEO Wesley.Moore@Quarule.com 油 油 油 +1-足704-足231-足3871 油 Mark Linehan, CTO Mark.Linehan@Quarule.com 油 油 +1-足914-足471-足6205 油 Automating Compliance Controls Programs
  • 2. 息 油2014-足2016 油Quarule, 油Inc. 油-足 油Con鍖denHal 油& 油Proprietary 油 油 油 2 油 We 油automate 油controls, 油 required 油cer-鍖ca-ons, 油and 油 work鍖ows 油 Quarule 油Drives 油Automa-on 油With 油 油 Computable 油Regula-ons 油And 油Policies 油 油 油 We 油鍖nd 油and 油explain 油viola-ons 油 using 油the 油rule 油logic 油 Bene鍖ts 油 ≒ Decreased 油Cost 油 ≒ Reduce 油Risk 油 ≒ Increased 油Capacity 油
  • 3. Reforms 油Have 油Just 油Begun 油 Target 油Market 油 $50 油billion 油U.S. 油market 油in 油Financial 油Services 油for 油risk 油and 油compliance 油 油 $40 油billion, 油the 油average 油annual 油鍖nes 油and 油se[lements 油in 油the 油U.S. 油 油 Customers 油 Compliance 油 Problem 油 Current 油state, 油95%+ 油intensive 油manual 油oversight 油work 油 油 Current 油technology 油does 油not 油address 油the 油scale 油of 油the 油problem 油 油 Regtech 油is 油cool, 油but 油addresses 油less 油than 油5% 油of 油the 油problems 油 油 Customers 油 Compliance 油 Threats 油 Most 油are 油under 油regulatory 油consent 油orders 油 油 Unprecedented 油rate 油of 油global 油regulatory 油change 油 油 Global 油shortage 油of 油quali鍖ed 油sta鍖 油 息 油Quarule, 油Inc. 油-足 油Con鍖denHal 油 3 油
  • 4. Lowers 油costs 油 油Accelerates 油surveillance 油 Summarizes 油regulaHons 油and 油policies 油 油Explains 油controls 油and 油alerts 油 Expands 油and 油鍖exs 油as 油needs 油change 油 油Retains 油resoluHon 油and 油raHonale 油 Provides 油alert 油audit 油trail 油 油Enterprise, 油cloud 油 油or 油desktop 油 息 油2014-足2016 油Quarule, 油Inc. 油-足 油Con鍖denHal 油& 油Proprietary 油 油 油 4 油 Quarule 油automa-on 油
  • 5. Basis 油for 油Our 油Business 油Value 油 More 油controls, 油less 油-me, 油faster 油resolu-ons 油 Today 油 IniHal 油Quarule 油project 油 Using 油full 油Quarule 油 knowledge 油base 油 5 油息 油Quarule, 油Inc. 油-足 油Con鍖denHal 油 Create 油 Implement 油 Execute 油 Audit 油 Days 油 Months 油Weeks 油 C 油 I 油 E 油 A 油 C 油 I 油 E 油 A 油
  • 6. Quarule 油Addresses 油the 油Whole 油 油 Compliance 油Life 油Cycle 油 息 油2014-足2016 油Quarule, 油Inc. 油-足 油Con鍖denHal 油& 油Proprietary 油 油 油 6 油 Interpret 油 Rule 油(s) 油 Build 油 Control 油(s) 油 Execute 油 Control 油(s) 油 Escalate, 油 Track 油& 油 Resolve 油 CerHfy 油 Compliance 油Program 油Func-ons 油
  • 7. ≒Manual 油 work鍖ows 油 ≒Lack 油of 油 automated 油 no-鍖ca-ons 油 ≒Hard 油to 油link 油 back 油to 油 policy/rules 油 What 油are 油the 油Problems 油Today 油 息 油2014-足2016 油Quarule, 油Inc. 油-足 油Con鍖denHal 油& 油Proprietary 油 油 油 7 油 ≒Piles 油of 油text 油 documents 油 ≒Hard 油to 油track 油 and 油manage 油 ≒Loss 油of 油 knowledge 油 capital 油 ≒Communica-on 油 challenges 油in 油 requirements 油 engineering 油 ≒Manual 油 programming 油 Interpret 油 Rule 油(s) 油 Build 油 Control 油(s) 油 Execute 油 Control 油(s) 油 Escalate, 油 Track 油& 油 Resolve 油 CerHfy 油 ≒Manual 油 ≒Tons 油of 油 spreadsheets 油 ≒High 油false 油 posi-ves 油 ≒Black 油box 油 algorithms 油 ≒Term 油paper 油 project 油 ≒Inability 油to 油 drill 油down 油 ≒ 油Lack 油of 油 鍖exibility 油 ≒Increasing 油 risks 油 Compliance 油Program 油Func-ons 油
  • 8. Drive 油work鍖ows 油 Track 油progress 油 Plan 油resources 油 Quarule 油Solu-ons 油 息 油2014-足2016 油Quarule, 油Inc. 油-足 油Con鍖denHal 油& 油Proprietary 油 油 油 8 油 Capture 油Rules 油 油 rule 油knowledge 油 business 油info 油 Specify 油Controls 油 control 油procedures 油 viola-on 油scenarios 油 油 Interpret 油 Rule 油(s) 油 Build 油 Control 油(s) 油 Execute 油 Control 油(s) 油 Escalate, 油 Track 油& 油 Resolve 油 CerHfy 油 Compliance 油Program 油Func-ons 油 Find 油Viola-ons 油 Explain 油alerts 油 Show 油audit 油trail 油 Cer-fy 油Program 油 Su鍖ciency 油 E鍖ec-veness 油 PROGRAM 油BUILDER 油 INVESTIGATOR 油 PROGRAM 油MANAGER 油
  • 9. Handles 油all 油controls 油and 油drives 油programs 油 油 油If 油its 油a 油rule, 油we 油capture 油and 油apply 油it 油 Quarule 油can 油produce 油new 油products 油quickly 油 油If 油its 油not 油out 油of 油the 油box, 油well 油add 油it 油 Quarule 油provides 油evidence 油and 油transparency 油 油Every 油answer 油has 油a 油reason 油 油 息 油2014-足2016 油Quarule, 油Inc. 油-足 油Con鍖denHal 油& 油Proprietary 油 油 油 9 油 Quarule 油Di鍖eren-ators 油
  • 10. Our 油Three 油Compliance 油PlaYorm 油Components 油 InvesHgator 油 Program 油Manager 油 0100 1101 1010 0100 1101 1010 0100 1101 1010 0100 1101 1010 0100 1101 1010 0100 1101 1010 油 Accounts, 油Trades, 油LEs, 油Products, 油etc. 油 Builder 油 10 油息 油2014-足2016 油Quarule, 油Inc. 油-足 油Con鍖denHal 油& 油Proprietary 油 油 油 Governance 油Areas 油 Core 油Plakorm 油 Data 油ConnecHons 油
  • 11. Quarule 油Delivers 油 油Expanded 油Capacity 油 油 油High 油Accuracy 油 油 油Risk 油and 油Cost 油Control 油 油 11 油息 油2014-足2016 油Quarule, 油Inc. 油-足 油Con鍖denHal 油& 油Proprietary 油 油 油
  • 12. Manual 油compliance 油acHvity 油is 油high 油risk 油 油Each 油automaHon 油provides 油high 油returns 油 Compliance 油is 油core 油to 油business 油growth 油 油Customer 油are 油a鍖ected. 油 油 Every 油violaHon 油is 油found 油out 油 油Hotlines, 油auditors, 油complaints, 油plainH鍖s 油 Compliance 油is 油a 油blind 油spot 油 油99% 油manual, 油95% 油false 油posiHves, 油hidden 油 liabiliHes, 油growth 油constraints 油 息 油2014-足2016 油Quarule, 油Inc. 油-足 油Con鍖denHal 油& 油Proprietary 油 油 油 12 油 Why 油Own 油Compliance 油Solu-ons? 油
  • 13. 油Four 油Elements 油of 油a 油Solu-on 油 Quarule 油Reasoner 油 for 油SemanHc-足rules 油 油 Knowledge 油 and 油Rules 油 Databases 油 Unstructured 油 Data 油 Data 油feeds/ documents 油 Results 油in 油Eclipse-足based 油 IDE 油 Results 油in 油webapp 油 Results 油in 油semi-足 structured 油formats 油 Manual or Automated Input! Automated Reasoning! Possible Outputs! Delivered 油as 油a 油Java 油 API, 油as 油part 油of 油an 油IDE, 油 or 油as 油an 油applicaHon 油 server. 油 13 油息 油2014-足2016 油Quarule, 油Inc. 油-足 油Con鍖denHal 油& 油Proprietary 油 油 油
  • 14. THANK 油YOU 油 WWW.QUARULE.COM 油 AutomaHng 油Compliance 油CerH鍖caHon 油and 油Surveillance 油 油 14 油息 油2014-足2016 油Quarule, 油Inc. 油-足 油Con鍖denHal 油& 油Proprietary 油 油 油