Managing policy and process documents

Introduction

The Policy and process section provides a central location to manage your firm’s compliance policy documentation. Once a policy document is in place, you can view it in the built-in document viewer, update or replace it, track changes, review version history, manage the suitability statement (where applicable), and download copies for your records.

Summary

Once a policy document is established in the Compliance Centre, you have access to a suite of management tools. You can view the current document in an embedded viewer, see document details (like last updated), track changes through an audit trail, manage version history, review the suitability statement (where applicable), and download copies for external use.

When to Use This

Use these features to maintain compliance by keeping your policies up to date, tracking who has made changes, updating your suitability statement, or retrieving past versions of your documentation for audits or reviews.

Access and view the Policy and process document

1. Navigate to the AML/CTF Compliance Centre.
2. Click the Policy and process tab.
3. The system displays the Policy and process details page, which includes an embedded document viewer showing your current policy document.
4. Scroll through the document using the viewer’s internal scrollbar.
5. To see available actions, click the three dots menu (located to the right of the Policy and process details title).

Policy and process details (tab overview)

At the top left of the document view, you will see Policy and process details, which include:

• The date the document was Last updated.
• The name of the user who performed the update.

Management actions

By clicking the three dots menu on the right side of the screen, you can access the following actions:

Upload new

Allows you to replace the current document by uploading a new file.

Update

Provides options to update the existing policy settings or content.

Audit trail

Select Audit trail to view a comprehensive log of activities related to the policy.

• This view shows a list of activities, including the date, time, and specific action taken.
• You can print or download this audit log as needed.

Version history

Select Version history to see a table of all previous iterations of the document.

• The table displays the Date Created and Created By for each version.
• The current version is marked with a "CURRENT" tag.
• You can view or download a PDF copy of any previous version by clicking the document icon next to it.

Download options

You can download the current policy document to your local machine in two formats:

• Download DOCX: Useful if you need to edit the document in a word processor.
• Download PDF: Best for sharing a fixed version of the policy across your firm.

View suitability statement

Select View suitability statement to review (and, where available, edit) the suitability statement associated with your policy.

• A pop-up window will appear where you can review or edit the statement.
• When finished, click Close or the X to return to the policy view.