Obligations and status
Record and assign an obligation.
Keep obligations, risks and dates visible.
Dedicated views bring obligations, documents, risks and deadlines into one compliance workspace.
Documents and risks
Track supporting material and progress.
Deadlines and completion overview
Review upcoming dates and unresolved risks.
What you can try
- Review obligations, documents, risks and deadlines.
- Add a sample item, owner and target date.
- Record progress and complete a sample review.
- Record an incident and inspect the incident register.
How the information fits together
Information used
Item title, category, owner, due date, status and supporting notes.
Result
A register of reviews and follow-ups for a responsible team member to maintain.
Sample checklists are operational examples. They are not a complete regulatory register, an RMCP or a compliance certification.
Suggested practice workflow
Put compliance into context.
Use these steps as a discussion starter for your firm’s own operating process. Configuration and availability should be confirmed during evaluation.
- 1
Record and assign an obligation.
- 2
Track supporting material and progress.
- 3
Review upcoming dates and unresolved risks.
Make your demo count
Questions worth asking.
Go beyond the overview and confirm the details that matter to your practice.
How are obligations and risk categories configured?
Which evidence and reporting options are available?
Related modules
KYC verification
LegalCRM includes a dedicated KYC verification area for the practice’s client-verification work.
Explore moduleReports
A dedicated reporting area provides a place to review practice information and discuss operational priorities.
Explore moduleDashboard
Review active matters, total clients, pending tasks and upcoming deadlines from the dashboard.
Explore module