Compliance
Who saw what, and the proof afterwards
Access follows permissions the firm grants, walls hide what a person must not see, and every view and change is written to a trail no one can edit.
Who uses it
What each person does with it
- Managing partner
- Decides who may do what through roles and permissions, and approves the lifting of an ethical wall with a second person.
- Compliance
- Answers a data subject request under Act 843 within the firm's time, places legal holds, and reads the audit trail and its export.
- Administrator
- Keeps the retention periods the firm works to, and sees nothing destroyed without two people agreeing.
What it does
Compliance, in detail
Marked as in the product today or still being built.
Roles and permissions as data
In the productThe firm's roles are grants it edits; nobody may grant what they do not hold, and a change can wait for approval.
Parts switched on as the firm grows
In the productSeveral offices, departments, ethical walls and approvals stay hidden until the firm switches them on, so a sole practitioner sees a sole practitioner's screens.
Ethical walls
In the productA walled matter is absent from every list, search and report for everyone outside it; lifting a wall takes two people.
An audit trail no one can edit
In the productEvery view and change with who, what and when, chained so a changed entry is detected.
Data subject requests
In the productRequests under the Data Protection Act, 2012 (Act 843), verified, located across every record, answered and closed on the record.
The practice risk registers
In the productUndertakings given and received, complaints answered within the firm's time limits, incidents and data breaches with the notices the law asks for, gifts and hospitality, outside interests and file reviews by sample.
The compliance year
In the productThe firm-wide AML risk assessment approved and kept by version, policies sent for attestation, required training and CPD, professional indemnity insurance with its renewals and claims, and one calendar of every dated duty.
Retention and legal hold
In the productThe firm's retention periods as a register, a nightly list of what is due for review, and holds that stop destruction.
Deleted records
In the productNothing a person deletes is destroyed: it is marked with who, when and why, readable on its own page and restorable.
Two step sign in and sessions
In the productAn authenticator app or an emailed code for everyone, with each person's sessions and sign ins visible and revocable.
Help centre
How it works in practice
The guides a firm's people use, open to anyone deciding whether it fits.
- Roles, permissions and scopesWhat a person may do is decided by the permissions their roles grant, each at a scope, never by the name of their role.
- Ethical wallsA wall makes a matter or a client invisible to the people it shuts out, everywhere in the system, until two people agree to lift it.
- The audit trailEvery change, and every view of confidential material, is written down with who, what and when, in a record no one can edit.
- Data subject requestsLog, verify, locate and answer a request under the Data Protection Act, 2012 (Act 843), within the firm's time, with every step on the record.
- UndertakingsRecord each undertaking the firm gives or receives on a matter, have the riskier kinds approved by a partner first, and keep each in sight until it is kept, released or breached.
- ComplaintsRecord a client's complaint the day it arrives, answer it within the firm's time limits, close it with its outcome, redress and lessons, and read the figures.
- Incidents and data breachesReport an incident the moment it is known, assess it, decide and record the notices the Data Protection Act asks for within their clocks, and close it once every action is done.
- Gifts and hospitalityRecord a gift or hospitality given or received, ask before accepting or giving one, have compliance decide it over the firm's threshold, and read the year's totals by person and by other party.
- The firm's AML risk assessmentPrepare the firm-wide risk assessment the AML Act asks for, by kind of client, service, country and channel, have it approved, keep each approved version, and export it dated for the FIC or an auditor.
- Policies and attestationsKeep the firm's policies as versioned documents with an owner and a review date, send each version to the people it applies to, chase the overdue, and export who attested as inspection evidence.
- The compliance calendarSee every dated compliance duty in one list by day and in the firm's diary, from every register, and subscribe to it in Outlook or Google through a private address.
- Features and plansWhat the firm's plan includes, the parts of Docavra the firm switches on as it grows, and the seats it may fill.
See it against your own matters
A 45 minute walkthrough using your own matters. No commitment, and nothing to install to watch it.