Compliance Report

24/08/2025
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How To

Location: LEAP Menu > Reports > Matters & Clients > Compliance Report

Purpose: Displays Compliance details for matters opened within a specified period, including onboarding and AML checks, undertakings, risk and file review. The report retrieves compliance data from the 'Compliance' card in the matter table.

compliance card on matter details.png

Filters:

Start Date	Filters results to only include matters opened from this date.
End Date	Filters results to only include matters opened till this date.
Undertaking Given	Provides three options based on whether an undertaking has been given: All: Includes all matters, regardless of whether undertaking had been given by the specified 'At Date'. Yes: Includes only matters where undertaking had been given by the specified 'At Date'. No: Includes only matters where undertaking had not yet been given by the specified 'At Date'.
Undertaking Given At Date	Works with the 'Undertaking Given' filter to include only matters where an undertaking was given on or before the specified date.
Undertaking Discharged Date	Restricts results to matters where undertaking was discharged by the specified 'At Date'.
Inc Archived Matters	Include or exclude archived matters from the results.
Reporting Group	Include only matters that match any of the selected 'Reporting Groups'.
Other Date Filter	Select 'None' or apply one of the following date filters to include only matters where the relevant date is on or before the specified Filter Date: AML Check Date Conflict Check Date Identity Check Date Retention Review Date Review Date Risk Assessment Completed Date Source of Funds Date Undertaking Received Date NOTE: These date filters apply to the corresponding dates recorded in the 'Compliance' card within the matter table.
Filter Date	Works with the selected 'Other Date Filter' to include only matters where an undertaking was given on or before the specified date. Only active when the 'Other Date Filter' is not set to the default 'None'. *For example*, if the 'Other Date Filter' is set to 'AML Check Date' and the 'Filter Date' is 20/01/2024, the filters work together to include only matters where an undertaking was given on or before 20/01/2024.
Display	Provides two display options: Group by the following: None Staff Responsible (default) Staff Acting Staff Assisting Reporting Group Expand Row Groups: Yes: Displays both the group rows and the rows within it. No: Displays only the group row.

Report Fields:

Matter No.	The matter number.
Client/Matter Description	Displays the following: The client name. The matter description.
Person Responsible	The Person Responsible of the matter.
Person Acting	The Person Acting of the matter.
Person Assisting	The Person Assisting of the matter.
AML Check Complete?	Yes: AML Check has been completed. No: AML Check is yet to be completed.
AML Check Date	Displays the date when the AML Check was completed, if applicable. NOTE: The 'Conflict Check Complete?' checkbox and the Conflict Check Date field are located under the 'Onboarding & AML Checks' tab in the Complaint Details window.
Source of Funds Check Complete?	Yes: The Source of Funds Check has been completed. No: The Source of Funds Check is yet to be completed.
Source of Funds Date	Displays the date when the Source of Funds Check was completed, if applicable. NOTE: The 'Source of Funds Check Complete?' checkbox and the Source of Funds Date field are located under the 'Onboarding & AML Checks' tab in the Compliance Details window.
Conflict Check Complete?	Yes: Conflict Check has been completed. No: Conflict Check is yet to be completed.
Conflict Check Date	Displays the date when the Source of Funds Check was completed, if applicable. NOTE: The 'Conflict Check Complete?' checkbox and the Conflict Check Date field are located under the 'Onboarding & AML Checks' tab in the Compliance Details window.
Identity Check Complete?	Yes: Identity Check has been completed. No: Identity Check is yet to be completed.
Identity Check Date	Displays the date when the Identity Check was completed, if applicable. NOTE: The 'Identity Check Complete?' checkbox and the Identity Check Date field are located under the 'Onboarding & AML Checks' tab in the Compliance Details window.
Risk Status
Client Obj Achieved?	Yes: Indicates 'Client's objectives achieved' is ticked. No: Indicates 'Client's objectives achieved' is unticked. NOTE: The 'Client's objectives achieved' checkbox is located under the 'File Review Summary' tab in the Compliance Details window.
Client Complain?	Yes: Indicates 'Client has indicated complaint' is ticked. No: Indicates 'Client has indicated complaint' is unticked. NOTE: The 'Client has indicated complaint' checkbox is located under the 'File Review Summary' tab in the Compliance Details window.
Rise to Claim?	Yes: Indicates 'Case circumstances may give rise to claim' is ticked. No: Indicates 'Case circumstances may give rise to claim' is unticked. NOTE: The 'Case circumstances may give rise to claim' checkbox is located under the 'File Review Summary' tab in the Compliance Details window.
Undertaking Given?	States whether Undertaking was given.
Undertaking Given Date	Displays the date Undertaking was given, if applicable.
Undertaking Discharged?	States whether the Undertaking was discharged.
Undertaking Discharge Date	Displays the date the Undertaking was discharged, if applicable.
Undertaking Received?
Undertaking Received Date
Undertaking Value	Displays the value of the Undertaking.
Overall Risk	States whether the client is a risk to the firm based on the Risk Indicator/Risk Assessment.
Risk Assessment Completed Date	Displays the date Risk Assessment was completed, if applicable.
Client Objectives Achieved	States whether client's objectives were achieved in terms of closing risk assessment.
Client has Indicated Complaint	States whether the client is likely to complain.
Circumstances may give Rise to Claim	States whether there were any circumstances that might give rise to claim.
Review Date	Displays the Review Date.
Retention Review Date	Displays the Retention Review Date.

Last Modified Date

24/08/2025 9:50 pm

Title

Compliance Report

URL Name

Compliance-Report-UK

Resolution