Firm management
In brief: Firm-level documents and registers auditors expect to see.
The firm-level documents, registers and records that auditors expect to see when they walk in. Distinct from per-client records: this is the firm itself as a regulated entity.
Where to find it
Sidebar → Firm management.
What's stored here
- Constitutional documents: incorporation cert, partnership agreement, LLP filing.
- Regulator registration: HMRC / SRA / CILEx confirmation, supervisor number, fee receipts.
- Insurance: PI policy, expiry, sum insured.
- AML programme documents: current PCP, firm-wide risk assessment, last independent audit report.
- Annual MLRO reports: generated from the MLRO Report tool, archived here as PDF.
- External supervisor correspondence: letters from HMRC / SRA / FCA, inspection notes.
Each document has a category, an upload date, an expiry date (where relevant), and a free-text note. Expiring documents surface on the AML Calendar.
Why a separate section
Client documents (KYC, ID copies, declarations) live on the client's file. Firm documents live here because:
- They support every client, not just one.
- The MLRO needs them at hand during an inspection.
- The Compliance Pack (firm-level export) bundles them.
Bundling for an inspection
When a regulator gives you 7-14 days' notice, generate a Compliance Pack from Settings → AML Compliance → Download compliance pack; it zips the firm-wide RA, the PCP, training records, audit reports, MLRO appointments, and the firm-management documents into one inspection-ready archive.
Related
- Compliance Pack: the export bundle
- Annual MLRO report: the report itself
- Settings: firm registration details
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