Governance
Set up and manage your firm's compliance controls: risk rules, ethical walls, procedures and monitoring settings.
By Ula and 1 other2 authors21 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.
- What are Procedures in Legl?Procedures route, escalate and flag Engage requests for review inside your firm, with the reason recorded every time.
- How to set up a procedure in LeglSet up review routing, onboarding review procedures and notifications, with an example for each area.
- A guide to the Procedures you can set upA guide to the Procedures you can set up in Legl, what each one looks at, and what it can trigger.
- What reviewers see when a procedure runsWhat reviewers see when a procedure assigns the request, escalates a finding, adds guidance or sends an email.
- Understanding the Procedures OverviewWhat the Procedures Overview tab shows: actions taken in the last 7 days and which procedures ran.
Custom monitoring
Set the screening and monitoring settings for individuals and businesses, used at onboarding and for ongoing monitoring, and choose who receives alerts.
- What is Custom monitoring in Legl?Custom monitoring holds your firm's screening and monitoring settings for individuals and businesses, and who gets alerts.
- How to configure monitoring settingsSet screening and monitoring settings for individuals and businesses, alert emails and alert assignment in Custom monitoring.
- Understanding business screening and company monitoring settingsLearn what each business screening category and company monitoring alert means when monitoring business clients.
- Understanding individual monitoring settingsLearn what each screening category, adverse media risk type, and matching option means when monitoring individual clients.