Requirements
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      1. EMTECH Knowledge Base
      2. Beyond Compliance
      3. Requirements

      Requirements - Managing Regulatory Requirements

      The Requirements feature helps compliance teams simplify management by tracking rules, creating tasks, and uploading evidence in a single location.

      Key Functions

      1. Navigation

      • Access the Requirements section from the left-hand menu.

      • View and manage requirements tied to compliance Frameworks.

      2. Frameworks

      • On the left panel, select from applicable Frameworks (e.g., Rules on Digital Assets Exchange (DAX), SEC Regulations, etc.).

      • Frameworks group related requirements to streamline compliance mapping.

      3. Requirements View

      • Toggle between:

        • All Requirements: Full list of mapped compliance items.

        • Out of Scope: Requirements marked irrelevant by you, for your license or entity.

      • Use the Search bar to quickly find a requirement.

      • Apply Filters to narrow down requirements (e.g., status, period).

      4. Requirement Details

      Each requirement row displays:

      • ID & Title (e.g., NG_DAS_VASP_292)

      • Description of the compliance requirement.

      • Participant: Entity responsible (e.g., Digital Asset Exchange).

      • Period: Frequency of compliance activity (e.g., "on need basis").

      • Tasks: Linked compliance tasks (e.g., “TASK CONFIGURATION”).

      5. Task Management

      • Click on the compliance requirement, and go to Tasks tab to link or create compliance tasks for a requirement.

      • Tasks ensure compliance obligations are actionable and trackable.

      6. Actions

      • Use the three-dot menu/ ellipsis (⋮) on each requirement to:

        • View rule 
        • View rule history
        • Mark as complete 
        • Mark Out of scope  

      Requirements Workflow Example

      1. Select Framework – Choose the regulatory framework you must comply with.

      2. Review Requirements – Read through obligations in the requirements/ rules.

      3. Assign Tasks – Configure tasks under each requirement (e.g., setting controls for investor records).

      4. Upload Evidence – Attach proof of compliance (e.g., audit logs, system reports).

      5. Track Progress – Monitor assigned tasks and completion within Task Management.

      Benefits

      • Centralized view of all compliance requirements.

      • Easy task-to-requirement mapping for accountability.

      • Quick search and filter to find obligations.

      • Continuous monitoring of compliance readiness.