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Leo's Solutions
Leo's Principal Firm Solution
What is Leo’s Principal Firm Solution?
The Solution provided by Leo specifically tailored for Principal Firms works similarly to the Regulated Firm Solution, but provides multiple environments. The Principle Firm itself holds an environment listed first in the right-hand search bar. Beneath the main environment, we see listed ‘sub-environments’, assigned to each of the Principal Firm’s ARs. This gives the Principal Firm an oversight of all of the compliance processes, framework and documentation of each of its ARs.
Who uses the Solution?
Leo’s Principle Firm Solution is targeted at the Compliance Officer and Team of the Principal Firm primarily. The solution will also be used by the Senior Manager of each AR within their individual environments.
What modules are included?
- Compliance Oversight
- Client Due Diligence
- Financial Promotion
- SM&CR
- MLRO
- Management Oversight
- Vendor Due Diligence
- Attestations
- Registers
- GDPR
- Approved Persons
- Initial Onboarding
- PA Dealings
- Product Governance
- Template Editor
Here is a link to the Regulated Firm Solution explainer article to explain how the environments work!