When the Compliance Table is first opened, only the Overview tab and the Conflict Check Details tab are visible. Additional tabs appear as you select the relevant AML and KYC checks in the Overview tab.

Multiple clients/people on a matter

If a matter has two or more clients, a client dropdown appears at the top of the left-hand column. Select a client to view or record information specific to that client. All information recorded attaches only to the selected client, so there's no need to add multiple Compliance Tables to the matter.

One client across multiple matters

This table operates at a matter level, as the legislation applies to the provision of designated services. If you have one client with multiple matters, the table should be completed on each individual matter.

Status badges

Each tab has a status badge — Not Applicable, Not Complete, or Complete. When you select a check in the Overview tab, the badge updates from Not Applicable to Not Complete.

Once every required field in that tab is filled in, it updates to Complete.

Rules that apply across every tab

• No date field will accept a future date.
• The Completed By field accepts more than one staff member.
• Notes fields are always optional.
• Status badges only update to Complete once all required fields are filled.

The Audit Log automatically records every change made in the Compliance Table — the date and time, the staff member who made the change, what was changed, and the reason for the change.

When a field that already contains a value is edited, a prompt appears on saving, asking the user to provide a reason. The reason is saved directly to the Audit Log.