Matter-first AML workflow
for designated services
duely attaches compliance obligations to the matter or engagement, not only to a general client profile. That means scoping, due diligence, approvals, retention, and evidence stay tied to the work that triggered the obligation.
Why this matters
Under tranche 2, one client can trigger multiple designated services — each with its own scoping decision, risk profile, and evidence requirements. If everything sits in a single client folder, the compliance record becomes difficult to explain later.
duely gives each engagement its own matter record with a scoping gate, linked parties, lifecycle status, due diligence trail, approval history, and retention anchor. When a regulator or auditor asks how a specific engagement was handled, the answer is in the matter — not scattered across folders.
What is included now
Matter creation and team assignment
Create matter records, assign owners and team members, and link relevant clients or entities to the engagement.
Yes / No / Unsure scoping with rationale
Structured scoping gate with mandatory rationale for out-of-scope and unsure outcomes. Guided questions help resolve uncertain decisions.
Linked customers and entity parties
Link multiple customers to a matter with specific roles. Track party changes over the engagement lifecycle.
Customer baseline drift detection
When a customer's beneficial-owner or control structure changes, drift is surfaced on every matter that uses that customer. Choose Apply, Rebind, or Upgrade with a recorded reason and baseline reference — the matter never silently runs on stale customer data.
Customer trigger-event history
Every reason a customer's CDD posture changed is logged — risk re-rating, screening hit, baseline update, related-matter event. "Why did we re-review this client?" is answered in one click instead of reconstructed from email.
Matter status lifecycle
Full status lifecycle from draft through to approved and monitoring. Every status change is logged in the audit trail.
Retention anchor and 7-year record logic
Set retention anchor dates with documented reasons. The system tracks the 7-year retention obligation from the anchor date.
Firm-scoped matters, policy-gated sensitive actions
Matters are firm-scoped — anyone with compliance access in the firm can read them. Sensitive operations (SMR, sensitive evidence packs, reliance approvals) are gated by AMLCO and Approver policies.
AML/CTF Act and designated services
- Obligations attach to designated services, not client relationships
- Each engagement requires independent scoping, CDD, and risk assessment
- Record-keeping: 7 years from relationship end or service provision
- Matter-level records align with how AUSTRAC expects to review compliance
Related features
See how this capability connects to the broader compliance workflow.
Identity Verification
Verify customers linked to each matter using safe harbour, non-safe harbour, or manual paths.
Learn more →Risk Assessment
Assess risk at the matter level with structured triggers and escalation to ECDD.
Learn more →Evidence Packs
Turn matter activity into a versioned, integrity-hashed evidence export.
Learn more →See how a matter becomes an evidence pack
Walk through the structured workflow from scoping to evidence export.