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Regulatory Obligations & Evidence

Connect interpreted obligations to accountable control tasks, evidence submissions, exception review and approved reporting records.

Request a tailored demonstrationExplore the interface

12 workspace menus · 5 role profiles · Connected records

Designed for compliance directors and obligation owners

Regulatory Obligations & Evidence workspace interface preview; illustrative records and figures.
Regulatory Obligations & Evidence — operational workspaceInterface preview · Illustrative dataView full interface →

Explore the system interface.

Operational workspace and record review. Select a screen to inspect it in full.

Regulatory Obligations & Evidence workspace interface preview; illustrative records and figures.
Regulatory Obligations & Evidence — operational workspaceInterface preview · Illustrative dataView full interface →
Regulatory Obligations & Evidence record interface preview; illustrative records and figures.
Regulatory Obligations & Evidence — record and workflow reviewInterface preview · Illustrative dataView full interface →

Operational dashboards and work queues.

Operational views

Review work, evidence, exceptions and authorised decisions within a defined operating scope.

Business unitPeriodAssigned teamReview state

Dashboard measures

  • Active control records
    Count of all records in the selected workspace.
  • Review queue
    Records at the third stage of the business workflow.
  • Needs attention
    Records with an assigned review requirement.
  • Final-stage records
    Records in the fourth business workflow stage.

Business workflow and operating scope

Connect interpreted obligations to accountable control tasks, evidence submissions, exception review and approved reporting records. An obligation register becomes difficult to trust when requirements are detached from evidence and responsible owners. The system connects reviewed obligations to scheduled work, submissions and corrective actions, helping the compliance team see what is complete and what still needs an accountable decision.

Operational visibility

  • Compliance evidence completion rate
  • Risk and obligation dashboard
  • Open issues / alerts
  • Periodic review due list
  • Decision and remediation audit

Operations

Operational overview

Review the work position and priority actions.

Reviewed obligation register

Coordinate reviewed obligation register with assigned responsibilities, linked records and review history.

Control ownership

Coordinate control ownership with assigned responsibilities, linked records and review history.

Evidence schedules

Coordinate evidence schedules with assigned responsibilities, linked records and review history.

Submission review

Coordinate submission review with assigned responsibilities, linked records and review history.

Noncompliance actions

Coordinate noncompliance actions with assigned responsibilities, linked records and review history.

Reporting approval

Coordinate reporting approval with assigned responsibilities, linked records and review history.

Traceable evidence records

Coordinate traceable evidence records with assigned responsibilities, linked records and review history.

Insights

Reports and saved views

Review the reporting scope and export agreed operational views.

Governance

Approvals and exceptions

Review delegated decisions, exceptions and recorded conditions.

Audit history

Trace accepted changes, decisions and accountable actions.

Access and configuration

Manage the agreed role permissions and configurable operating rules.

The end-to-end business journey.

From intake to authorised completion, with evidence at each decision.

01

Assign obligation ownership

Register applicable obligations with accountable ownership.

02

Schedule evidence tasks

Translate requirements into scheduled evidence and control tasks.

03

Review and correct

Review submissions and manage noncompliance actions.

04

Approve reporting records

Approve reporting and retain a traceable compliance record.

Governance and control

  • Authoritative obligations and thresholds must be version-controlled.
  • High-risk cases require designated reviewer approval.
  • Automated alerts may prioritise but must not silently make accountable regulatory decisions.
  • Evidence and decision rationale must be retained.
  • Periodic reviews must be scheduled from risk and policy rules.

Accountable roles

Compliance coordinator
Obligation owner
Evidence contributor
Qualified compliance reviewer
Reporting approver

Permissions are configured and tested for the agreed responsibilities.

Data, interfaces and operating requirements.

Core records

Obligation / ruleSubject / entityAssessmentAlert / issueReviewDecisionRemediationEvidence

Systems and interfaces

  • Authoritative regulatory change feeds
  • Approved document repositories
  • Jurisdiction-specific reporting interfaces

Interface scope, data mapping and testing are agreed for each engagement.

Implementation requirements
Authoritative regulatory interpretation, change feeds and jurisdiction-specific reporting requirements.

Mobile and tablet access

Review assigned evidence and approve permitted tasks from responsive views.

Access approved workflows through the Dalfin mobile app. Device tasks and permissions are confirmed for the deployment.

Apple App Store ↗Google Play ↗

AI extensions

Organise supplied evidence against reviewer-approved requirements. Regulatory interpretation remains with qualified owners.

AI extensions are scoped around the required data, business outcome and review controls.

Engineered with Genesis.

Structured application engineering

Connect requirements, roles, records, workflows and interfaces through the agreed Genesis engineering process.

Controlled changes

Review dependency impact and validation requirements. Context Memory supports governed changes and accepted application revisions.

Deployment and support

Agree customer cloud or on-premises requirements, device access, implementation acceptance and ongoing engineering support.

An example operating scenario

See the process, its exception and the evidence.

An obligation is assigned to a responsible owner with an evidence deadline. A reviewer rejects an incomplete submission, the corrective action is completed and the approved reporting record links back to the interpreted obligation and its evidence.

What to review

  • A saved end-to-end transaction
  • An exception and its authorised resolution
  • Different operator, approver and reviewer permissions
  • Final records, history and the relevant report
Discuss this solution

Questions before implementation.

How is this system adapted to our organisation?

Roles, approval authority, business rules, records and reporting are configured around your operating model. Scope definition connects the required business outcome to workflows, interfaces and acceptance criteria.

How are approvals and responsibilities defined?

Operators, reviewers and authorised decision makers have defined responsibilities. Approval limits, exception handling and access permissions are agreed with your business owners and tested against the selected workflows.

Can it connect with our existing systems?

Interface requirements cover your existing business systems, data ownership, mapping and authentication. Connection design and testing form part of the agreed implementation scope.

What will we review in a solution walkthrough?

Start with a relevant business transaction, then review its approvals, an exception, role permissions and final records. Discuss the integrations, reporting and operating requirements that matter to your organisation.