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