Capture as work happens
Record policy changes, approvals, training, and attestations the moment they occur. Evidence captured continuously is accurate and complete; evidence reconstructed before a review has gaps and inconsistencies.
Record the rationale, not just the outcome
On client matter risk assessments, the common issue is boxes ticked with no explanation. The key is to be able to justify what the assessment says. If a matter isn't escalated to the MLRO, record the reasoning; if it is, record why it is high risk and why it is being escalated.
Link the trail together
Connect each policy version to its source, its approval, the staff who acknowledged it, and the training that backs it. A linked trail lets you show the whole chain — from regulatory change to staff understanding — rather than disconnected records.
Make it exportable
When the SRA, an insurer, or a panel asks, you should be able to export a complete, coherent pack in hours rather than days. Continuous capture makes production an export, not a project.
Reglo helps firms keep this evidence organised and audit-ready — humans approve every change. AI drafts and organises; your compliance team decides.
This guide is general information for compliance teams, not legal or regulatory advice. Always refer to the SRA's current guidance and take your own professional advice where needed.