Evidence your finance
compliance controls.
As Compliance Officer for Finance and Administration, you need clear evidence that finance-related compliance controls are documented, reviewed, and understood. Reglo keeps the policies, approvals, attestations, and audit trail around those controls organised and review-ready.
Can the COFA evidence that finance-related compliance controls are documented, approved, and followed?
COFAs are accountable for compliance around the firm's finances and administration — and need to show the controls, policies, and approvals behind them. That evidence is often spread across systems. Reglo brings the policy, approval, and acknowledgement trail into one place so the COFA can demonstrate controls are managed, not just assumed.
Who this is for
For Compliance Officers for Finance and Administration
COFAs
Evidence the policies, approvals, and acknowledgements behind finance-related controls.
Finance and practice managers
Keep finance compliance policies current and acknowledged across the team.
COLPs working alongside the COFA
One shared, consistent compliance evidence trail across both roles.
How Reglo helps
From regulatory change to audit-ready
Document the controls
Keep finance-related compliance policies and procedures current, version-controlled, and mapped to the obligations they support.
Evidence reviews and approvals
Capture who reviewed and approved each policy and control update, when, and why.
Track acknowledgement
Assign policies to the right staff and record sign-off — so you can show controls are understood, not just written.
What you get
What COFA software should give you
Documented controls, clear approvals, evidenced understanding.
COFA controls audit trail
A timestamped record of policy reviews, approvals, and acknowledgements around finance-related controls.
Policy review workflow
Surface relevant regulatory change and draft updates for the COFA to review and approve.
Staff acknowledgements
Evidence that the people responsible for controls have read and acknowledged the current policies.
Audit preparation
Export the policy, approval, and acknowledgement evidence behind your controls on demand.
Current capability vs roadmap
What Reglo does — clearly scoped
We don't overclaim. Here's exactly what COFA software in Reglo covers.
Available now
- Finance-related compliance policies with version control
- Review and approval workflow with a full audit trail
- Staff attestations and acknowledgement tracking
- Exportable evidence for audit preparation
Not in scope today
- Client account management or accounts rules transaction monitoring
- Ledger reconciliation or accounting functionality
- Replacing your finance or accounts systems
This replaces overhead — it doesn't need a new budget line.
The COFA's compliance evidence is usually maintained manually alongside finance work. Reglo keeps the policy and approval trail current automatically, freeing that time.
- Hours of policy admin, attestation chasing, and evidence assembly handed back to the firm — not a new headcount.
- Typically less than the billable time firms lose to manual policy updates and audit preparation each month.
- Guided onboarding: we migrate your policies and map your sources — no IT project, no six-month rollout.
Common questions
Does Reglo manage the client account or accounts rules transactions?
No. Reglo focuses on the policy, approval, attestation, and audit-trail evidence around finance-related compliance controls. It does not manage the client account, reconcile ledgers, or replace your accounting systems.
Does Reglo replace the COFA role?
No. Reglo supports the COFA by keeping the evidence behind finance compliance controls organised and current. Accountability and decisions stay with the COFA.
Can COFA and COLP evidence live in one place?
Yes. Reglo keeps a consistent compliance evidence trail that both the COFA and COLP can draw on, with role-appropriate views.
Related solutions
More for law firm compliance
See how Reglo would work for your firm
Book a demo and we'll show you how Reglo keeps your policies, training, attestations, and audit-ready evidence aligned — against your real compliance setup. Your team stays in control; humans approve every change.