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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.