Governance
Set up and manage your firm's compliance controls: risk rules, ethical walls, procedures and monitoring settings.
By Ula and 1 other2 authors19 articles
Ethical Walls
Control who can see each contact's Engage workflows, set default visibility for new contacts and turn Ethical walls on.
- What are Ethical walls in Legl?Learn how Ethical walls (contact visibility) let your firm restrict a contact's Engage workflows to named users and departments.
- Understanding what users can see with Ethical wallsWhat Admins, users with access, users without access and users with no department can see when a contact's visibility is restricted.
- How to restrict access to a contact's Engage workflowsChoose which users and departments can see a new contact's Engage workflows when you create the contact or an Engage request.
- How to change who can access a contact's Engage workflowsAdmins can switch a contact between firm-wide and restricted, and choose which users and departments can see its Engage workflows.
- How to turn on Ethical walls and set the default visibilityTurn on Ethical walls for your firm and choose whether new contacts start firm-wide or restricted.
Risk Rules
Match Legl to your risk policy: upload your policy, turn rules on or edit them, and see which rules have been triggered.
- Risk Rules: what to expect and what we'll need from youWhat to expect when your firm adopts Risk Rules, the white-glove journey stage by stage, what we will need from you, and how your rules are agreed and recorded.
- A guide to the Risk Rules you can set upA guide to the Risk Rules you can set up in Legl, what each one checks, and what it triggers for your onboarding.
- How Risk Rules worksLearn how Risk Rules applies your firm's risk policy automatically, running the right checks and building a defensible audit trail.
- Risk Rules: Your out-of-the-box rulesThe out-of-the-box Risk Rules your firm can start with, and how each one is handled.
- How to suppress an automated Risk Rule checkSuppress an automated check triggered by a Risk Rule on an Engage request, or ask your client for a different document instead.
- What are Risk rules in Legl?Risk rules match Legl to your firm's risk policy, so clients give the right information and fix issues straight away.
Procedures
Route requests to the right reviewer, escalate findings and notify your team automatically once a request is ready for review.
Custom monitoring
Set screening and company monitoring settings for individuals and businesses, and choose who receives monitoring alerts.
- How to configure monitoring settingsConfigure monitoring summary emails, alert assignment, and individual, business and company monitoring settings in Legl.
- How to assign and manage reviewers for monitoring updatesLearn how to assign, reassign, and manage reviewers for monitoring updates and business monitoring alerts in Legl.
- Understanding business screening and company monitoring settingsLearn what each business screening category and company monitoring alert means when monitoring business clients.
- How to bulk disable ongoing monitoringLearn how to disable Ongoing Monitoring for multiple clients at once by submitting a CSV file to our Support team.
- Understanding individual monitoring settingsLearn what each screening category, adverse media risk type, and matching option means when monitoring individual clients.
- What is Custom monitoring in Legl?Custom monitoring holds your firm's screening and monitoring settings for individuals and businesses, and who gets alerts.