DOX - Document Compliance System Datasheet

DOX is designed to track a group of documents and maintain the current and historical status of all documents within the system.
DOX tracks past due documents and serves as a tickler system for upcoming document requirements. DOX document compliance will assist a financial organization in providing a comprehensive view of all document requirements.

Module Integration

DOX is designed as a stand alone document compliance system. DOX can also be used and integrated with existing software applications. DOX can be populated from downloads from mainframe systems or linked to other databases. Once DOX is pre-populated with basic customer/deal/facility information it eliminates redundant data entry and potential errors.

Concepts and Innovations

View Documents: Users can view the status of all documents that are associated with a customer/deal/ facility from a single screen. When selecting a specific document, all diary dates are displayed. The system tracks the receipt and verification of all documents and all pertinent information is displayed at a glance.

Generate Diary Dates: By specifying the document name, frequency, start date and end date, DOX will automatically create all diary dates based on the specified date range. As documents are received, the status can be updated to reflect any changes. There is a separate verify date that can only be entered by a pre-designated verifier for added security.

Administration: DOX is a highly customizable system. Users can create their own sets of documents, frequencies, customers, senior managers, users and account officers. Once these tables are set up the data will be available throughout the system.

Privileges: DOX allows three types of users: administrators have the ability to set up additional users and assign user privileges; full access users can assign documents and generate diary dates; read only users can view data and run reports. Additional privileges for importing data and verifying document receipt are available.

Standard Reports: The power of DOX lies in its reporting capabilities. There are multiple standard reports included within DOX. Reports on past due documents as well as documents due within the next 30, 60 or 90 Days are available and can be grouped by account officers and senior managers. All reports can be filtered by customer, account officer, department, date range or document types.

Custom Reports: All reports can be exported to Excel for customization. If a custom report is required regularly, SGP International’s Custom Solutions Group is available to create additional standard reports.

Implementation: SGP International’s Custom Solutions Group can work with existing documentation compliance systems (whether paper-based, spreadsheet-based or a more sophisticated system) to pre populate DOX in preparation for its first use.