Assign permission levels
To assign permission levels to users for modules follow the steps below:
From the panel on the left, click Account Settings.
Click User Management, then next to the desired User, click Edit then Permissions.
To set the permission level for each module, select the checkboxes as appropriate.
Note: The user cannot access the module if you don't select either Data Inputter or Supervisor for a module.Click Save.
Note: To allocate someone as a user or master, set this within the Members tab.
Modules
Below is a list of the different Modules and what they can be used for:
Module | Functionality |
Breach Reporting | Recorded breaches are escalated to the module supervisors, who are then prompted to decide the materiality of the breach. A task can be scheduled when remedial action is required. Generated reports to track trends and identify areas of concern. |
Client Feedback | Use the template provided to record client feedback then analyse the data in the reporting suite to identify areas of improvement. |
Complaints | Log complaints with the required details to help fully investigate. Once logged, they can then be escalated to the required person where the task workflow takes them through the full investigation process. Generate reports to identify complaint trends and where the complaints are coming from. |
File Audits | Schedule and record a file audit , if required create corrective action and verify tasks being notified when these have been completed. Generate reports to identify trends within audits and to confirm all details have been updated. |
Gift and Hospitality | Record when you have given or received a gift or hospitality, set up rules within the system to allow for certain value items to be automatically accepted and for others to be sent for a review. Set up multiple rules depending on the type of entry, the amount and the recipient or giver. |
Misconduct Reporting | Record details of any misconduct. You'll be prompted to follow the correct procedure when dealing with this incident, adding details if it needs to be reported and any outcomes. |
Money Laundering Suspicions | Record suspicions of money laundering. When logged a task is generated for the relevant user to investigate and determine if the suspicion needs to be reported to the NCA. |
Periodic Review | Audit the firm’s compliance on a periodic basis and assess any areas that need action. |
PII Claims | Record any potential claim, adding the relevant details and escalating the record to a claim if necessary. Update the record as a claim progresses and add details from the insurer. |
Referrals | Enables firms to record and manage their referral arrangements; it guides them through the process of ensuring arrangements are compliant and warns them if they should cease accepting referrals or not accept them in the first place. |
Risk Register | Log risks, set mitigation plans and create reminders for when each risk needs to be reviewed. Generate reports to give overviews of all risks and their reviews. |
Undertakings | Record any undertaking, identifying if they are standard or nonstandard. Create a review task to stop any missed key dates. |