Forms
Last updated
Last updated
Forms in Proofdesk are the building blocks, or pieces of work within your entire compliance workflow.
Every piece of work is evidenced by a respective form, which has a full version history to allow for detailed accounts of events. When a new version is created, the previous version is copied and made available to edit as a new version, while all the old versions are kept recorded and available to view. Each version is associated with a creation date as well as the member from your team who completed it.
Forms address clear guidance from the regulator about the need for clear version history for several aspects of the AML/CFT workflow - especially surrounding customer, technology and business risk assessments.
"Relevant persons should maintain a detailed version or control history within the risk assessment(s), alongside any supporting documentation and evidence to better demonstrate compliance with the Code."
Section 2.2.7
Every form version can be easily exported as a PDF to help with submitting evidence to the regulator
"...satisfactory record keeping is paramount for relevant persons themselves in ensuring they are able to comply with their obligations under the AML/CFT legislation. A relevant person’s record keeping procedures and controls must enable them to satisfy, within a reasonable time frame, any enquiries from competent authorities.
Furthermore, it is only through adequate record keeping that relevant persons can demonstrate compliance with AML/CFT legislation; for example, to the relevant person’s auditors, supervisors or in the event of legal enquiries. "
Section 6
Before a new form version is marked as completed, the version prior stands as the active source of information for that form. For instance, when an identity form has a new draft version, the identity components from the previous version remain associated to the entity until the new form version is signed.
Any form in Proofdesk can be expanded with custom fields to allow your organisation to store additional information which is not native to Proofdesk. These can be added for you by our team during your onboarding or at any time on request.
Any forms in Proofdesk can have files attached to them in the form of .pdf and common image formats. This is done through custom fields that can be added to any form during your onboarding or at any time on request.