Overview
This article explains how to set up procedures in Legl, with an example for each area: review routing, onboarding review and notifications.
Before you start
You need to be an Admin.
Procedures must be set up for your firm. If you see Get set up for free on the Governance page or in Procedures, select it, check your details, make sure Get set up for Procedures is ticked, then select Submit. Your Legl representative will be in touch.
How the Procedures tab is set out
Go to Governance in the left-hand menu, select Procedures, then open the Procedures tab. Procedures are grouped into three sections:
Review routing: sends an Engage request that is ready for review to one reviewer when a scenario you choose comes up.
Onboarding review: runs when an Engage request is ready for review and its checks have finished. Procedures are grouped by area: Screening, Source of funds, Identity verification and Financial screening.
Notifications: emails the people you choose when a scenario you pick comes up.
Each procedure shows WHEN it runs and the action it takes, plus:
On or Available: whether the procedure is running.
Standard: a procedure suggested by Legl. You can turn it on or off and edit it. It is not set up specifically for your firm.
History: the changes made to the procedure, shown once it has been turned on.
Use the search box and the Area and Status filters to find a procedure.
ℹ️ Further guidance
How to set up review routing
Review routing has a firm-wide rule, which covers requests from every department. You can also add department rules, which take priority for that department's requests.
Edit the firm-wide rule
Edit the firm-wide rule
In Review routing, select Edit on the firm-wide rule. The Edit the firm-wide rule panel opens.
In Action, select Assign the request to a reviewer, then Next.
In Configure, choose the Reviewer from your firm's users. They get one email per request, whichever scenarios come up.
Open Scenarios and tick the scenarios that should send the request to this reviewer. Each area has a box to select all of its scenarios. Select Next.
In Review, check the summary, then select Save changes.
To stop the firm-wide rule, select Turn off. The firm-wide rule cannot be deleted.
Add a department rule
Add a department rule
Example: send Engage requests from the Employment department to a named reviewer when an identity verification check does not come back clear.
In Review routing, select + Add a department rule. The Add a department rule panel opens.
In Action, select Assign the request to a reviewer, then Next.
In Configure, choose the Department, for example Employment. Each department rule covers one department.
Choose the Reviewer.
Open Scenarios and tick the scenarios, for example the three Identity verification scenarios. Select Next.
In Review, check the summary, then select Save changes.
The department rule is on straight away. For requests from that department, it takes priority over the firm-wide rule on the scenarios you chose. On other scenarios, the firm-wide rule applies.
To change a department rule, select Edit. To remove it, select Delete.
How to set up an onboarding review procedure
Each onboarding review procedure takes one of two actions:
Mark as escalate: the finding is shown in red with an Escalate label and the reason, prompting the reviewer to escalate it.
Add reviewer guidance: your instructions are shown on the finding.
Every onboarding review procedure follows the same steps:
Find the procedure and select Edit. To use it as shown, select Turn on instead.
In Action, choose Mark as escalate or Add reviewer guidance, then select Next.
In Configure, fill in the settings. This step only appears if the procedure has a setting, or if you chose Add reviewer guidance.
In Review, select Turn on, or Save changes to save it without turning it on.
If you select Turn on on the procedure itself, select Turn it on to confirm. When you change a procedure that is already on, select Save changes in Save these changes?. Changes apply to requests that reach review from now on.
Screening
Screening
Procedure options
Mark as escalate
Add reviewer guidance
Options for screening
When a search finds a potential screening match for:
PEP
Sanctions
Adverse media
Warning list
Fitness and probity
Source of funds
Source of funds
Procedure options
Mark as escalate
Add reviewer guidance
Options for source of funds
The declared source of funds falls short of the transaction value
The source of funds includes cryptocurrency
A third party contributes to the source of funds
The source of funds includes foreign currency
The client declares source of funds held overseas
Identity verification
Identity verification
Procedure options
Mark as escalate
Add reviewer guidance
Options for identity verification
The fraud check doesn't come back clear
Document check didn't come back clear
Biometric check didn't come back clear
Financial screening
Financial screening
Procedure options
Mark as escalate
Add reviewer guidance
Options for financial screening
A financial search doesn't come back clear
The client's address doesn't match their credit file
The client's credit file shows a County Court Judgment
The client's credit file shows an insolvency
The client's credit file shows debt collection searches
How to add a notification
Example: email your compliance team when a request has a potential PEP or sanctions match.
In Notifications, select + Add another notification. The Add a notification panel opens.
In Action, select Notify by email, then Next.
In Configure, enter the email addresses in Emails to notify. Separate multiple addresses with commas.
Open Scenarios and tick the scenarios, for example PEP and Sanctions. Select Next.
In Review, check the summary, then select Save changes.
The notification is on straight away and applies to requests from every department. Each person gets one email per notification, listing everything that came up. To change it, select Edit. To stop it, select Turn off or Delete.
How to turn off or delete a procedure
Turn off: select Turn off, then Turn it off. The procedure stops straight away and stays in the list, so you can turn it on again.
Delete: select Delete, then Delete. The procedure stops straight away and is removed. Requests it already ran on still show it on their timeline.
Delete shows only on procedures you can have more than one of, such as department rules, notifications and extra rules for a trigger.
What happens next
Procedures run when an Engage request is ready for review and its checks have finished. Changes apply to requests that reach review from then on.
The Overview tab shows the procedure actions taken on requests in review over the last 7 days.
Important information
An Engage request has one reviewer at a time. If a department rule and the firm-wide rule both apply, the department rule wins.
The firm-wide rule can be turned off but not deleted. Department rules can be edited or deleted but not turned off.
The source of funds shortfall scenario cannot be used for review routing or notifications.
Procedures for risk assessments, ongoing monitoring and Pay are coming soon.
If you need help, contact our Support team.