Measure, Manage, Monitor

Take Command of your Risks

Although managing risk has always been good business practice, it is no longer optional. Events such as corporate malfeasance, terrorism and natural disasters have caused massive financial losses, led to huge reductions in shareholder values, and spawned a deluge of regulations.

Today, organizations in almost every industry face unprecedented scrutiny when it comes to governance, risk management, and compliance. While the Enterprise Risk Management (ERM) trend has been driven in large part by regulatory and audit requirements it can – and should – also drive competitive advantages and improve bottom-line performance. To achieve those objectives, optimal

practices must first be in place to measure, manage and monitor risk and compliance activities to avoid the costs associated with non-compliance. But equally important is a program that is easy to implement, scalable and cost-effective; the solution should not be more costly than a problem!

RCP Solutions knows that implementing and maintaining effective programs is easier said than done. Many organizations are overwhelmed by complexity and change, and enterprise-wide collaboration is often a major stumbling block. It can be difficult to meet basic requirements, let alone develop a comprehensive program and enforce it.

The Challenge

At RCP Solutions, we recognize the challenges associated with creating and implementing risk management and compliance programs. That is why our Risk Management Services Division offers both consulting and technology-driven services to help you achieve your goals. Plus our solutions are scalable – they will get up and running quickly but grow with you as you develop and expand your programs over time.

Centralize and simplify your programs by integrating and automating the business processes required to:

• Assess and quantify risk and compliance costs• Implement and track risk mitigation and compliance processes 24/7• Eliminate spreadsheets and manual processes• Gather, aggregate, analyze and communicate information to and from many different sources• Generate real-time auditable reports• Benchmark your progress

Whether you are looking to create a new governance, risk or compliance program or find a tool to help you implement an existing one, RCP Solutions will make your program a reality. Our solutions will satisfy the needs from senior executives to middle management – and anyone in between – who is required to measure, manage and monitor their exposures and mitigation activities. This can be applied to very specific regulations or internal processes, as well as broader, organizational level programs that require similar oversight.

RCP Solutions has successfully provided risk management consulting services and implemented SCORE to solve the needs of:

• The CCO of a large hospital needing to automate compliance with Conflict of Interest regulations and management of the annual assessments.• A mutual fund company initially needing to assess compliance and risk levels of its intermediaries according to SEC 22c-2 requirements and later expand to cover the Pay-To-Play regulations.• The leading unclaimed property reporting company in the US wanting to ensure accuracy, consistency and timeliness of annual compliance filings to multiple jurisdictions for its clients.• An aeronautical engineering and manufacturing company having to demonstrate a reduced risk profile across the organization to retain their insurance – resulting in a 15% reduction in premiums!• A global home improvement retailer needing to coordinate multiple departments and automate internal mandates with external regulations with complete transparency.• The VP of Shareholder Services at a large family entertainment and media enterprise to coordinate internal audit processes for both regulatory compliance as well as corporate stock transfer rules.• The Internal Audit department of a London-based Lloyd’s insurance broker with Sarbanes-Oxley compliance and reporting across multiple departments.• The CEO of a securities consulting firm wanting to differentiate himself from his competitors while expanding his capacity to handle more FINRA 3012 compliance audits – without sacrificing quality of service.

Your Needs

RCP SCORE™ Strategic Command of Risk Elements

Combining our proprietary, web-based decision support tool, RCP SCORE™, and a suite of professional services, only RCP Solutions’ Risk Management Services Division can provide all the tools necessary to create the custom program you need for your business and have it up and running quickly and cost-effectively. Our consultative approach will ensure that key risks and key risk indicators are identified and that our software tools are implemented in the easiest, most intuitive way possible to measure, manage and monitor those activities in collaboration with key stakeholders across the organization. Plus, we will be with you every step of the way: before, during, and after your program is implemented.

Our customers have found that SCORE eliminates spreadsheets and manual assessment activities that are time-consuming and inefficient. Their SCORE status and results are accessible from one

dashboard and through a suite of customizable, management-ready reports at any time. If the assessment warrants, action items will be triggered to mitigate risks, drive compliance and ensure deadlines are met. Assessments are easily repeated on a regular schedule with benchmarking designed to track exposure levels and rate of improvement over time.

Attestation features, early warning notifications and escalation alerts ensure accountability and management oversight at-a-glance so that potential problems are identified before fines, penalties or other costs can be incurred. The system also automatically creates audit trails and can require evidentiary documentation and other key information to be captured to support future audits. SCORE could be your best defense under such circumstances providing all that a regulatory audit could require in one easily accessible system.

Our Solutions

RCP SCORE™ Admin Report

RISK MANAGEMENT

The main benefit of SCORE? It’s a one-stop repository for all the information I need from my organizational partners that helps to reduce my risks. It helps to ensure that the things that can’t be dropped-absolutely get done!Shannon Jones Senior Manager, Stock Administration Home Depot

MAILING 200 Dryden Road, Suite 3500 | Dresher, PA 19025 PHONE (267) 607-4120 EMAIL Questions@RCP-Solutions.com WEB RCP-Solutions.com

SCORE enables us to manage our large physician network in real time and keeps my regional managers on target with their annual objectives and regulatory requirements.

John J. Haney, MBA, FACHE Chief Operating Officer, St. Luke’s Physician Group, Bethlehem, PA

About RCP SolutionsRisk Compliance Performance Solutions specializes in risk management, compliance, communications and outreach programs that drive performance and positively impact the bottom line. We are a women-owned business with an executive team of 100+ years combined experience in a variety of industries and disciplines bringing a wealth of knowledge, excellence and innovation to all of our services. Driven by state-of-the-art technology, we integrate the many facets of business, risk, compliance and management to achieve the best results for our clients.

Risk Management Services

Risk Management Consulting RCP Solutions can help you identify your risks and risk hierarchies as well as Key Risk Indicators to be monitored in a process or program. We will also help in defining controls and action items to mitigate those risks or develop risk and compliance assessment programs.

Professional Implementation Services Includes pre- and post-implementation services such as project management, system architecture and benchmarking design, customization and testing, access permissions, training, reports and data analysis reviews plus ongoing management consultation to ensure you get the most out of SCORE.

Client Service Our level of client service can be tailored to meet your needs from limited, basic support to our Platinum level where we can become an extension of your team.

RCP SCORE™ Our software is fully customizable from the business issues tackled and the various modules required to address them all the way down to the terminology you would like to use throughout. And it is completely scalable – able to grow with you as your programs and business needs grow.

• GRC Module (Governance, Risk and Compliance) includes standard Assessment, Controls and Action Items, Calendar, Cost Survey, Documents and Reporting Modules – the basic minimum functionality you need to measure, manage and monitor your risk management and compliance activities. • Risk Hierarchy Module provides advanced Risk tracking capabilities for more complex risk mappings and analysis if required. • Risk Based Capital Allocation Module (RBCA) provides an advanced and sophisticated set of tools for creating risk-based allocations and automatically updating them based upon the current status of risk and compliance activities. It was designed to support the UK Financial Services Authority’s (FSA) Individual Capital Adequacy Standards (ICAS) and other regulatory bodies’ capital adequacy requirements. • Attest Module includes features and functions to ensure user attestations are completed in a timely fashion with the appropriate documentation and reporting capabilities. It was designed to support corporations required to be compliant with the Sarbanes-Oxley Act. • Internal Audit Module provides features and functionality specifically for an auditor. An auditor has the capability to plan audits, capture results, track issues and generate reports for the defined processes, closing the loop between Risk, Compliance and Internal Audit.