AMLex RBSF Risk Based Supervision Framework


Risk-Based Supervision (RBS) 

Is gradually becoming the dominant approach to regulatory supervision around the world. The risk based supervision (‘RBS’) approach is designed to work as a structured process that identifies both critical risks faced by an entity and also systemic risks in the financial system.


Who uses RBS? 

Supervisory Authorities worldwide such as Central Banks, Security Exchange Commissions, Bar or Accounting Associations to name the few, license and supervise Obliged Entities under their supervision and then conduct on-site and off-site assessments involving a risk-based framework at a supervised entity level


AMLex RBSF Tools


AMLex 365 unique Features

Web-based application

a dynamic yet simple web-based application

Fully configurable and adaptable

fully configurable and adaptable to the fast growing regulatory changes

Evaluates inherent risks

It evaluates inherent risks through quantitative & qualitative techniques using electronically submitted surveys, firm-wide internal control mechanisms, processes and systems, to arrive to a residual risk rating per supervised entity.

Fully editable weighted risk

It is parametrised to the firm’s needs and risk appetite, with a fully editable weighted risk scoring matrix

Dynamic real-time validation rules

The Automated online surveys are distributed and collected via the system with dynamic real-time validation rules to enable error-free survey responses and real-time web survey progress status monitoring

Enables Auto-processing and risk assessment of survey data

It enables Auto-processing and risk assessment of survey data to arrive at a risk classification of supervised Entities to Low, Medium and High Risk enabling effective and efficient planning of the on-site and off-site supervision framework and indication of next review date.

Alerts and Warning notifications

Alerts and Warning notifications are user specified the system’s Customised reporting capabilities provide instant access to key statistical and market data

Supports tasks management & monitoring

It supports tasks management & monitoring of actions and has user-friendly interfaces & workflows for exchange of information between users

Supports API embedded technology

It supports API embedded technology for third party systems integration and real-time retrieval of information in a single or batch processing mode.

Advanced Security features

AMLex365 RBSF has advanced Security features for setting action rights and Role based access.

Secured access protocol

The system has a secured access protocol and a 24/7 System Maintenance Support.