About this course

Compliance Overview

• What the Compliance Workflow Offers
• What the Compliance Workflow is For

Risk Management

• Contents of the Risk Management Workflow
• Client Due Diligence
• Completing a Risk Assessment
• Recording ID
• Matter Due Diligence
• Source of Funds
• Reports Available

Conflicts

• Conflicts Focused Workflow
• What the Conflicts Workflow Covers
• Questionnaires & File Note
• Reports Available

Undertakings

• Undertakings Focused Workflow
• Recording an Undertaking
• Undertaking Approval
• Discharging an Undertaking
• Reports Available

File Reviews

• File Reviews Focused Workflow
• Initial File Review
• Corrective Actions
• Further Reviews
• Reports Available

Client Feedback

• Client Feedback Focused Workflow
• Feedback in the Web Portal
• Send Feedback Request
• Reports Available

Complaints

• The Complaints Workflow
• Recording Initial Complaints
• Recording Investigation Findings
• Further Investigation & Final Responses
• Reports Available

PII Claims

• The PII Claims Workflow
• Claim Investigation
• Insurer Responses
• Closing the Claim
• Reports Available