Overview
Governance helps your firm apply its risk policy and procedures consistently across every client. It brings four areas together in one place: Ethical walls, Risk rules, Procedures and Custom monitoring.
Nothing changes for your firm until you set an area up, apart from Custom monitoring. That holds your existing monitoring settings, which have moved here from Settings.
What you can use Governance for
Control who can see each contact's Engage workflows with Ethical walls
Match the checks your clients complete to your risk policy with Risk rules
Route, escalate and flag Engage requests for review inside your firm with Procedures
Choose what your firm screens and monitors clients against with Custom monitoring
How Governance works
Each area of Governance has a card on the Governance page. Once an area is switched on for your firm, its card shows Enabled.
Ethical walls
Ethical walls control who in your firm can see each contact's Engage workflows. Each contact is either Firm-wide, so every user can see its Engage workflows, or Restricted to the named users and departments you choose. Admins can always see every contact, and every change is recorded in the contact's history.
Ethical walls are included in your Legl plan. Admins can turn them on in Governance > Ethical walls > Configure, and choose whether new contacts start Firm-wide or Restricted. On the Governance page, select Find out more to open it.
ℹ️ Further guidance
Risk rules
Risk rules apply your firm's risk policy to every Engage request. Each rule has a trigger and an action. For example, when a client uploads a provisional driving licence as ID, Legl asks them for the correct identity document. The client sees a short message explaining why, which you can edit. You can also upload your risk policy so Legl can recommend rules that match it.
Risk rules is a paid add-on. Select Get a quote and our team will be in touch. Once it is on, all users can open Risk rules to see which rules your firm uses, but only Admins can change them.
ℹ️ Further guidance
Procedures
Procedures decide what happens inside your firm once an Engage request is ready for review and its checks have finished.
Review routing sends the request to one reviewer, such as your MLRO, when a scenario you choose comes up.
Onboarding review can mark a finding as escalate, or show your own guidance to the reviewer.
Notifications email the people you choose.
The reason is recorded on the request every time.
Procedures are included in your Legl plan. Select Get set up for free and our team will be in touch to turn them on.
ℹ️ Further guidance
Custom monitoring
Custom monitoring holds your screening and monitoring settings. These are:
which categories individuals and businesses are screened against
which company changes raise an alert, and at what priority
who receives monitoring alerts, and whether alerts are assigned automatically
These settings apply when clients are screened at onboarding as well as during ongoing monitoring. The Settings impact analyser previews how a change would affect what your team reviews, and Version history shows who changed each setting and when.
Custom monitoring is included in your Legl plan and is already switched on, so the card shows Enabled and Open monitoring. Your settings have moved here from Settings and have not changed. Monitoring alerts are still reviewed from Monitoring in the left-hand menu.
ℹ️ Further guidance
The simplest way to think about it: Risk rules act with your client, asking them for the right information at the right time, and Procedures act inside your firm, making sure the right people review it.
The Governance page also shows an example of how rules and procedures work over a rolling 7 days. This is example data, not your firm's activity.
Where to find Governance in Legl
Select Governance in the left-hand menu, above Pay. It contains Ethical walls, Risk rules, Procedures and Custom monitoring.
To review monitoring alerts, use Monitoring in the left-hand menu as before. Only the settings have moved to Governance.
Permissions and access
Every user can see the Governance page.
Only Admins can request setup, turn areas on and change settings.
Other users can open Risk rules to see which rules your firm has turned on, but they cannot change them.
Important information
Risk rules is a paid add-on. Ethical walls, Procedures and Custom monitoring are included in your Legl plan.
Your monitoring settings have moved from Settings to Governance > Custom monitoring. Nothing you set up before has changed.
Custom monitoring settings apply to Watchlist Screening at onboarding as well as ongoing monitoring.
If you would like help setting up any area, contact our Support team.