Complete evidence index
Documents, transcripts, screenings, external checks, wallet reports and case notes remain attached to the relevant customer and review.
Regulatory evidence
Put the entire decision in regulatory order.
CompliantID records the work as it happens, then presents the evidence, analysis, challenge, decision and continuing controls as one reconstructable case.
One ordered
regulatory record
regulatory record
Evidence
Analysis
Challenge
Decision
Reconstructable by design
What happened, what was known and who decided.
The record should answer the regulator’s questions without forcing the firm to rebuild the case after the event.
Decision chronology
Assignments, reviewer actions, escalations, questions, approvals and second sign offs are retained in sequence.
Material findings and resolution
The pack shows what was identified, what evidence was requested and how each issue affected the final decision.
Human rationale
The final authorised person records the outcome, reasons, conditions, monitoring and scheduled review.
Filing and response support
Prepare SAR consideration records, evidence schedules, regulatory response packs and application materials for human review.
Management information
Understand open cases, ageing, risk concentration, unresolved actions, review deadlines and control performance.
Sample structure
One pack, ordered around the decision.
The content can be configured to the firm and regulatory context. The example below uses fictional data.
01
Executive summary
Customer, purpose, risk classification, decision and conditions.
02
Evidence and screening
Identity, KYB, ownership, sanctions, PEP, media, wallets and transactions.
03
Analysis and challenge
Material findings, contradictions, policy context and challenge responses.
04
Decision and history
Human rationale, approvals, conditions, activity log and future review.
Beyond onboarding
Support the firm through regulatory change.
CompliantID can help organise evidence for ongoing supervision, internal reviews and regulatory applications without claiming that software itself guarantees approval.
Application readiness
Map policies, customer files and operating evidence to the requirements the firm needs to demonstrate.
Regulatory information requests
Produce an ordered response file showing the relevant cases, controls, decisions and supporting documents.
Control testing and remediation
Identify missing evidence, incomplete decision records and ageing actions across the portfolio.
Working session
Prepare the evidence before it is requested.
Tell us which regulator, framework or review your firm is preparing for. We will show the record CompliantID can create through ordinary case work.
Fictional demonstration dataSecurity pack availableControlled pilot option