Compatibility · Finance
Compliance & Regulatory
10 document types. Every file you add to this department is filed against one of them — that filing is what routes a question to the right document instead of searching a pile.
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AML procedures
A written set of steps staff follow to detect, review, and report suspected money laundering and related financial crime.
What it’s used for
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Compliance manuals
A written handbook setting out the rules a financial firm follows to meet its regulatory obligations, and who is responsible for each.
What it’s used for
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Court approval guidelines
Internal guidance explaining which transactions or decisions require a court's sign-off, and how to obtain it.
What it’s used for
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FTC guidelines
A compliance reference summarizing Federal Trade Commission rules and guidance that apply to a financial firm's advertising, data handling, and consumer dealings.
What it’s used for
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KYC requirements documentation
An internal guide setting out what identity and background information a financial firm must collect and verify before opening an account.
What it’s used for
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Legal timelines for structured settlement transfers
A reference chart of the required waiting periods and filing deadlines for court-approved transfers of structured settlement payment rights, state by state.
What it’s used for
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OFAC screening guides
An internal guide explaining how staff check customers and transactions against government sanctions lists and what to do with hits.
What it’s used for
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Privacy & data retention policies
An internal policy setting out how a financial firm collects, uses, shares, protects, and eventually disposes of customer and employee data.
What it’s used for
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Risk assessment templates
A standard form compliance teams fill in to score and document the risks a financial firm faces in a given area.
What it’s used for
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State-by-state requirements for transfers
A reference chart listing each state's licensing, disclosure, and filing rules that apply to money transfers or account transfers.
What it’s used for
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