How document management works
A document belongs to a case file or to a person or company in that file, such as a passport with a director. You upload it yourself, or your client supplies it in the client portal, up to twenty files at a time and at most 10 MB per file. During onboarding the document request is often an action or a step in a procedure, next to forms and the engagement letter.
You get a notification 90, 60 and 30 days before the expiry date, and on the day itself. A segment lists all case files with expired documents. Documents count towards the completeness meter of the case file, so you see which item is still missing.
Files are served through temporary links. Every upload, change and download lands in the activity log with time and user.
Document management and the Wwft
Article 33(1) Wwft requires you to record, in a retrievable way, the documents and data you used for client due diligence. The third paragraph requires keeping them for five years after the business relationship ends or after the transaction.
RiskResolve keeps the documents with the case file, so you have them to hand for those five years. Every change to a document lands in the activity log, with time and user.
Frequently asked questions
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