Every lifecycle
Virtual data room: one evidence file for every counterparty.
For each counterparty, cmpliance keeps one evidence file inside your boundary: its documents, logged on arrival, its evidence packs with each earlier version, its facts with their sources, and its decisions. You share a reviewed pack with an auditor for a limited time, and every opening is logged.
- Evidence packsCurrent and earlierRevision 2 · 1 kept
- FactsWith their sourcesRegister · screening
- AccessAccess logWho opened what, and when
The officer sees which pack is current and what is stale before sharing it with the auditor.
How it works
Add the pack. Keep the earlier one. Show every tab. Share one pack. Mark what is stale.
- 01AddCounterpartyTrading companyDocumentLogged on arrivalPackFrom the finished run
Each document that enters the room is logged on arrival, and each finished run adds its evidence pack to the counterparty's evidence file.
- 02KeepCurrentRevision 2EarlierRevision 1 · kept
A newer pack becomes the current one, and the earlier one is kept, marked as superseded.
- 03ShowTabsFactsWith sourcesDecisionsNewest firstHistoryPacks and checks
The evidence file shows the counterparty's facts with their sources, its evidence history and its decisions, each in its own tab.
- 04ShareShared withExternal auditorAccessOne pack · 30 daysOpenedLogged · today
You share one reviewed pack with an auditor for a limited time, and every opening is logged with who, what and when.
- 05MarkStatusStaleReasonMonitoring change
When monitoring finds a change for a counterparty, the packs and records in its room older than a day are marked stale.
For M&A due diligence, regulatory submissions and cross-border compliance.
The evidence file
What should an evidence file answer?
When an auditor asks about a counterparty, you should be able to answer five questions.
- Which documents and evidence packs exist for it, and which pack is current.Evidence fileQuestion for the auditorDone ·DocumentsCurrent packeach version kept
- What facts were found, and from which sources.Evidence fileQuestion for the auditorDone ·FactsSourcesfacts tab
- Which decisions were taken on it, and when.Evidence fileQuestion for the auditorDone ·DecisionsDatesdecisions tab
- Who opened what, and when.Access logQuestion for the auditorDone ·WhoWhatWhenevery opening
- Whether anything has changed since.Your callM. Fischer
A shared drive: open questions before the audit.
cmpliance: answered in the evidence file, the judgment left to your officer.
The access
Who sees what
Access to the room follows the work.
Your team reads each counterparty's evidence file inside cmpliance, with access by role.
An auditor gets time-limited access to one pinned, reviewed pack, until it expires or you revoke it.
Every opening is logged, with who opened what and when.
A pack's hash is written to the audit ledger, so a copy can be checked against it.
The record
A shared folder is not an evidence file
A folder holds files. The evidence file says more: which pack is current and which it replaced, the facts with their sources, the decisions, and who opened what.
A folder holds files.
Shared folder- The current packRevision 2
- The earlier packKept · superseded
- The factsWith their sources
- The decisionsNewest first
- Each counterparty has one evidence file, with its documents, packs, facts and decisions in one place.
- When a newer pack arrives, the earlier one is kept, marked as superseded.
- An auditor gets time-limited access to one reviewed pack, and every opening is logged.
Insights
Related reading
A new signal. A new review. What happens when evidence changes after approval
Approval is a point in time. When a new sanctions signal arrives for an approved customer, a reassessment opens against the approved baseline, the comparison shows what changed, and an analyst decides.
Read the article
Audit-ready evidence packs for compliance decisions
An evidence pack should let another officer reconstruct a compliance decision without relying on the original reviewer's memory. Here is what that requires.
Read the article
Compliance evidence glossary: KYC/AML terms, defined plainly
Plain definitions of the terms used in KYC/AML evidence review, from beneficial ownership and adverse media to maker-checker review, evidence packs and hash-chained audit trails.
Read the article
Common questions
Can outside auditors open the room?
Yes, one pack at a time. You give an auditor time-limited access to one pinned, reviewed pack. Access ends when it expires or when you revoke it, and every opening is logged.
What goes into the room?
The counterparty's documents, logged on arrival, its evidence packs with each earlier version, and the monitoring checks that found a change. Facts read from documents appear in the facts tab, with the document named as their source.
Are earlier versions kept?
Yes. A newer pack marks the earlier one as superseded, and the earlier one stays.
Who can see the room?
Members of your team whose role gives access to evidence, and the auditors you share a pack with, for as long as their access lasts.
Is every opening logged?
Yes. Each access entry records who opened what, and when.
Where does the evidence stay?
Inside your boundary. A pack's hash is written to the audit ledger, so a copy can be checked against it.
What does stale mean?
When monitoring finds a change for a counterparty, the packs and records in its room older than a day are marked stale, so your team knows to look again.