Compliance workflows
Make the control record visible.
Organize evidence, access conditions, review states, deadlines, and specialist dependencies without presenting workflow software as legal or regulatory advice.
Control register
Compliance activity must be evidence-backed and owned
Each transaction records its applicable controls, responsible reviewer, supporting evidence, exceptions and completion status.
| Ref | Work item | Required evidence or output | Owner | Control focus |
|---|---|---|---|---|
| C-01 | Investor access | Eligibility basis, invitation authority, NDA state, permission decision, and access history. | Authorized control owner | Verify |
| C-02 | Offer material | Approved documents, version, permitted recipients, supporting evidence, and circulation record. | Issuer + adviser | Review |
| C-03 | Section 42 / PAS-4 | Applicability, identified persons, offer-letter preparation, investor-count controls, and filing dependencies. | Company counsel / CS | Professional review |
| C-04 | Corporate filings | MGT-14 and PAS-3 applicability, resolutions, allotment information, deadlines, evidence, and filing status. | Company counsel / CS | Professional review |
| C-05 | Funds and allotment | Banking or escrow evidence, subscription status, reconciliation, allotment authority, and exception handling. | Authorized finance owner | Controlled record |
Review path
Evidence before status
A controlled workflow should never label a regulated step complete solely because an internal task was marked done.
- 01 / Determine
Confirm applicability
Qualified professionals determine the relevant legal, regulatory, corporate, eligibility, and filing requirements.
Exit: requirements and owner recorded
- 02 / Evidence
Assemble the control record
Connect documents, resolutions, approvals, identities, access events, deadlines, and external evidence.
Exit: required evidence available
- 03 / Review
Resolve exceptions
Route missing, inconsistent, late, unauthorized, or specialist matters to the responsible owner.
Exit: exception disposition recorded
- 04 / Complete
Record external completion
Capture the authorized filing, payment, allotment, or other completion evidence without inferring it from a button click.
Exit: completion evidence verified
Design boundary
Workflow support, not automated compliance
The platform may organize tasks and evidence. It must preserve the distinction between administrative progress and a professional conclusion.
- Access
- Permission and NDA states require authenticated identities, policy rules, and event evidence.
- Documents
- Every controlled output needs version, owner, review state, and permitted circulation context.
- Deadlines
- Dates require source authority, timezone, owner, escalation, and external completion evidence.
- Exceptions
- Conflicts and missing evidence must block or escalate the relevant action rather than disappear into notes.
Important professional review notice
IBankCentral is a workflow, evidence organization, document generation, and analysis-support platform. Qualified professionals remain responsible for reviewing outputs before circulation or transaction reliance. IBankCentral does not provide legal, tax, audit, valuation, credit, regulatory, underwriting, or investment advice.