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Client compliance

The Compliance tab on a client record shows client-level compliance information, templates and documents.

Open client compliance​

  1. Open Clients.
  2. Open the client record.
  3. Select Compliance.

Audit information​

The tab can include audit information such as:

  • Auditor Type
  • Date of Last Audit
  • Compliance Level

Use this section to check the client's compliance review status.

Client template​

The Client Template field shows the compliance template assigned to the client.

Templates help determine which compliance documents or checks apply to the client.

Applicable compliance document templates​

This section can show document template details such as:

  • Document
  • Type
  • Source
  • Requirement
  • Enabled
  • Mandatory
  • Submittable
  • Exclude from Score

Use this area to understand what documents are required and whether they contribute to compliance scoring.

Client compliance documents​

The client documents table can show:

  • Document Name
  • Uploaded By
  • Uploaded Date
  • Options

Actions may include:

  • Add
  • Merge PDFs

Only upload or merge documents that belong to the client and are appropriate for the compliance record.

  • Clients Overview
  • Client Documents
  • Compliance Overview
  • Candidate Compliance