Compliance Modules
Help & guidance for each of your Compliance Modules, including module set-up, using the module & task processes.
General Module Help
Guides in this section are applicable across all Compliance Modules.
Breach Reporting
This Module allows you to log both SRA and ICO Breaches. Find out how to create a Breach Report as well as creating, assigning and completing Remedial Action Tasks.
Client Feedback
You can collate and record Client Feedback in the Client Feedback module to allow for easy reporting and management of any further action required.
Complaints
These articles will describe how to centralise your complaints process and follow the lifespan of a complaint from initial reporting through to the outcome.
File Audit
Everything you need to know to make best use of your File Audits module, from adding your own question sets into the system to completing your tasks.
Gift/Hospitality
Maintain a record of gift/hospitality and expenses given or received. Once the module is set-up, each record follows a prescribed process for automatic approval or referral for manual approval.
Misconduct Reporting
How to setup the module task process, create a Misconduct Report and follow the investigation task process.
Money Laundering
How to use the Money Laundering Module to ensure users can record their suspicions, and ensure are actioned and escalated appropriately.
Periodic Review
How to setup and create Periodic Review questions, complete a periodic review and action any tasks created as a result.
PII Claims
Recording and managing your PII Claims and Circumstances and the associated tasks.
Risk Register
Managing and monitoring risk is vital in any business. Learn how to get your Risk Register Module set up to log your risks and manage any mitigation actions.
Undertakings
Everything that you need to know to log an Undertaking and follow it through to being discharged.