Agency Governance
Browse Compliance Monitor guides related to agency governance.
Use CMP / Client Money tracking
Use CMP / Client Money trackingManage the end-to-end intake, review, approval and evidence lifecycle for client money protection evidence.
Open guide →GuideUpload CMP / Client Money evidence
Upload CMP / Client Money evidenceCreate a document-intake record for client money protection evidence and attach it to the correct linked entity.
Open guide →GuideParse CMP / Client Money evidence
Parse CMP / Client Money evidenceRun the module extraction step and inspect values detected from the uploaded client money protection evidence.
Open guide →GuideReview and edit CMP / Client Money details
Review and edit CMP / Client Money detailsVerify extracted fields, correct errors and save a review before approval.
Open guide →GuideApprove a CMP / Client Money compliance record
Approve a CMP / Client Money compliance recordConvert a reviewed intake into an approved compliance record only after mandatory evidence checks pass.
Open guide →GuideOpen the CMP / Client Money PDF record
Open the CMP / Client Money PDF recordOpen or generate the system PDF for an approved CMP / Client Money record and distinguish it from original evidence.
Open guide →GuideDelete CMP / Client Money intake evidence safely
Delete CMP / Client Money intake evidence safelyUse the controlled delete action for an incorrect or duplicate intake without deleting the wrong approved record.
Open guide →GuideUse HMRC / MTD tracking
Use HMRC / MTD trackingManage the end-to-end intake, review, approval and evidence lifecycle for HMRC or Making Tax Digital evidence.
Open guide →GuideUpload HMRC / MTD evidence
Upload HMRC / MTD evidenceCreate a document-intake record for HMRC or Making Tax Digital evidence and attach it to the correct linked entity.
Open guide →GuideParse HMRC / MTD evidence
Parse HMRC / MTD evidenceRun the module extraction step and inspect values detected from the uploaded HMRC or Making Tax Digital evidence.
Open guide →GuideReview and edit HMRC / MTD details
Review and edit HMRC / MTD detailsVerify extracted fields, correct errors and save a review before approval.
Open guide →GuideApprove a HMRC / MTD compliance record
Approve a HMRC / MTD compliance recordConvert a reviewed intake into an approved compliance record only after mandatory evidence checks pass.
Open guide →GuideOpen the HMRC / MTD PDF record
Open the HMRC / MTD PDF recordOpen or generate the system PDF for an approved HMRC / MTD record and distinguish it from original evidence.
Open guide →GuideDelete HMRC / MTD intake evidence safely
Delete HMRC / MTD intake evidence safelyUse the controlled delete action for an incorrect or duplicate intake without deleting the wrong approved record.
Open guide →GuideUse the AML / KYC intake workspace
Use the AML / KYC intake workspaceManage tenant selection, multi-file evidence, OCR, review, manual credit checks, approval, notification and PDF evidence.
Open guide →GuideUpload AML / KYC evidence
Upload AML / KYC evidenceCreate a multi-file intake for identity, address, credit or due-diligence evidence.
Open guide →GuideParse AML / KYC evidence
Parse AML / KYC evidenceExtract reviewable identity and compliance details from the uploaded evidence bundle.
Open guide →GuideReview an AML / KYC intake
Review an AML / KYC intakeVerify identity, address, document validity, risk context and evidence bundle before approval.
Open guide →GuideAttach additional AML / KYC evidence
Attach additional AML / KYC evidenceAdd supporting files during review while preserving the original intake bundle.
Open guide →GuideRecord a manual AML credit check
Record a manual AML credit checkSave a structured manual credit-check result against the AML intake.
Open guide →GuideApprove an AML / KYC record
Approve an AML / KYC recordCreate the approved compliance record after evidence, review and required checks are complete.
Open guide →GuideSend an AML / KYC notification
Send an AML / KYC notificationSend the approved AML/KYC record through the supported notification workflow.
Open guide →GuideGenerate an AML / KYC PDF
Generate an AML / KYC PDFCreate the approved AML/KYC evidence PDF and open it through the supported route.
Open guide →GuideOpen an AML / KYC notification PDF
Open an AML / KYC notification PDFOpen the PDF generated for a specific AML/KYC notification log.
Open guide →GuideDelete AML / KYC evidence safely
Delete AML / KYC evidence safelyRemove an incorrect intake or document without erasing the wrong approved compliance history.
Open guide →GuideUse the AML / KYC and sanctions audit
Use the AML / KYC and sanctions auditReview AML, KYC, manual credit-check and sanctions evidence from the financial audit workspace.
Open guide →GuideUse the Redress Scheme Membership register
Use the Redress Scheme Membership registerTrack redress provider, scheme, membership reference and dates as a live governance record with evidence and audit history.
Open guide →GuideReview and update Redress Scheme Membership
Review and update Redress Scheme MembershipEdit the governance record, evidence references and review timing before approval.
Open guide →GuideApprove and open the Redress Scheme Membership PDF
Approve and open the Redress Scheme Membership PDFApprove the verified governance record and open its generated evidence PDF.
Open guide →GuideUse the ICO Data Protection Fee / Registration register
Use the ICO Data Protection Fee / Registration registerTrack ICO registration status, reference, issue, expiry and review dates as a live governance record with evidence and audit history.
Open guide →GuideReview and update ICO Data Protection Fee / Registration
Review and update ICO Data Protection Fee / RegistrationEdit the governance record, evidence references and review timing before approval.
Open guide →GuideApprove and open the ICO Data Protection Fee / Registration PDF
Approve and open the ICO Data Protection Fee / Registration PDFApprove the verified governance record and open its generated evidence PDF.
Open guide →GuideUse the Estate Agency AML Supervision register
Use the Estate Agency AML Supervision registerTrack supervisory authority, registration, status, evidence and renewal dates as a live governance record with evidence and audit history.
Open guide →GuideReview and update Estate Agency AML Supervision
Review and update Estate Agency AML SupervisionEdit the governance record, evidence references and review timing before approval.
Open guide →GuideApprove and open the Estate Agency AML Supervision PDF
Approve and open the Estate Agency AML Supervision PDFApprove the verified governance record and open its generated evidence PDF.
Open guide →GuideUse the Landlord Ombudsman register
Use the Landlord Ombudsman registerTrack ombudsman or scheme status, references, evidence and review dates as a live governance record with evidence and audit history.
Open guide →GuideReview and update Landlord Ombudsman
Review and update Landlord OmbudsmanEdit the governance record, evidence references and review timing before approval.
Open guide →GuideApprove and open the Landlord Ombudsman PDF
Approve and open the Landlord Ombudsman PDFApprove the verified governance record and open its generated evidence PDF.
Open guide →GuideUse the Material Information register
Use the Material Information registerTrack governance position, authority guidance, phase gate, enforcement date and evidence as a live governance record with evidence and audit history.
Open guide →GuideReview and update Material Information
Review and update Material InformationEdit the governance record, evidence references and review timing before approval.
Open guide →GuideApprove and open the Material Information PDF
Approve and open the Material Information PDFApprove the verified governance record and open its generated evidence PDF.
Open guide →GuideUse financial sanctions checks
Use financial sanctions checksReview the financial-sanctions compliance workspace alongside AML/KYC evidence and audit records.
Open guide →GuideUse the legal governance register
Use the legal governance registerManage the shared governance register for redress, ICO, AML supervision, ombudsman and material-information obligations.
Open guide →GuideUse the financial audit workspace
Use the financial audit workspaceReview AML/KYC, sanctions, CMP, client money, redress, ICO and estate-agency AML audit views.
Open guide →