Which rules apply to us?And what of it is done?
The question sounds simple and never is. It starts with your industry, runs through standards and duties, and ends with who holds the evidence. In most organisations the answer sits in a spreadsheet that one person maintains and nobody reads.
A register is not a document. It is a state that changes.
Which is why the spreadsheet does not fail on day one, but in year two.
Nobody knows if the list is complete
Where the rules came from and when anyone last checked is written nowhere. Completeness cannot be verified.
Assessment and self-assessment blur
Whether a rule applies is for an adviser to decide. Whether it is met, only the organisation knows. One column holds both.
Evidence sits elsewhere
The duty is in the spreadsheet, the evidence in a folder on a drive. When it matters, someone assembles both.
Changes do not arrive
A standard is reissued. Whether anyone notices depends on the right person reading the right newsletter.
Two layers that stay separate
Professional assessment and self-assessment are two different statements. They are recorded separately because they come from different people.
- 01
Mapped to your industry
From a maintained body of rules, what applies to you is selected. What does not is excluded with a reason.
- 02
Professional assessment
An adviser judges what the rule means for you and which duties follow from it.
- 03
Your self-assessment
In your own portal you assess how far along you are and file evidence where the duty is stated.
- 04
A visible state
What is done, what is running, what remains open - one picture, the same for everyone involved.
What is included
A maintained body of rules
Standards and regulations with source and version, not a retyped list.
Mapping by industry
What applies to a trades business does not apply to a law firm. The mapping follows the industry.
Your own client portal
Your people work in their own view, without access to the advisory tool.
Evidence where the duty is
The document sits where the obligation is stated. Not in a second filing system.
Gap analysis
What is mapped but unassessed? Assessed but without evidence? The gaps are named.
Earlier versions stay readable
When a rule is reissued, the old one does not vanish. What applied then remains traceable.
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The question sounds simple and never is. It starts with your industry, runs through standards and duties, and ends with who holds the evidence. In most organisations the answer sits in a spreadsheet that one person maintains and nobody reads.
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