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RegTech FAQs

Who can access the information? How is it controlled?

Access to the site can be given to all employees or third parties and the Administrator has the ability to limit that access.

For example, the standard user groups, are that the compliance team can access the information and edit the manual/ongoing monitoring in the DCA whereas the other employees’ view is limited to a read only published compliance manual, or the ability for them to input their own gifts and inducements, conflicts of interest, complete their online training etc.

For the KYCA we encourage you to rely on the feature which opens up the system to clients.

Still need help? Get in touch