The same Handbook, without a compliance department. How?
By making the compliance work a queue rather than a project. A link to the client, a review of what comes back, a weekly alert if something changes, and a file that exports in one action when the supervision letter arrives. The firm configures it once and then answers what it raises.
- Matter
- Residential conveyance, St Peter Port
- Client due diligence
- Verified 22 Sep · passport, liveness, face match
- Source of funds
- Sale of a business, 2019 · bank statement on file
- Counterparty
- Screened 22 Sep · clear
- Next review
- 12 months · September 2027
The client file, and what is still missing
Identity, address, source of funds and the counterparty, each with its evidence and its status. A proof of address that has aged past three months shows as expired rather than quietly counting as held, and the outstanding list is what a fee earner actually needs to see.
- Risk model and form configured by your firm
- Source of funds evidence and narrative on the file
- Expiry tracked, not assumed
- Client
- Marie Le Page, verified 22 Sep
- Engagement risk
- Medium
- Source of funds
- Sale of a business, 2019, documented
- Counterparty
- Screened, clear
- Review
- 12 months, Sep 2027
| Item | Status | Chased |
|---|---|---|
| Proof of address, dated within 3 months | Expired, 14 Jun | Today |
| Bank statement, source of funds | On file |
Questions from professional firms
We are a prescribed business, not a fiduciary. Does that matter?
Not to the product. The obligations are the same shape: know the client, screen the parties, evidence the money, keep records that survive a visit. What differs is your own risk model and your own form, and both are yours to configure.
We do not have a compliance department. Is this too much product?
It is the same product a larger firm runs, priced from a £750 monthly minimum, and it is configured once. The day-to-day is a link to the client, a review of what comes back, and a weekly alert if something changes. There is nothing to administer.
Does it handle matters as well as clients?
It handles clients, parties and the evidence about them. It does not model a legal matter or an engagement as a first-class object, and it is not a practice management system. If your obligation is client due diligence, screening, source of funds and records, that is what this does.
Bring an anonymised client list.
We load it, screen it and show you which files a supervisor would ask about first.