Compliance programme
Playbook
Draft 0.1.0Regulatory scope when the business changes
When a client adds or drops an activity, moves zone, changes legal form or grows its team, bring the change into Arakan, re-run the company's regulatory scope and show the compliance officer what changed: regulators and obligations added, those that may no longer apply, and the questions that would settle the rest. The agent records facts and explains; the compliance officer confirms the new scope.
OnboardScope
What starts it
- In the client's system: licence document saved
- In the client's system: company profile changed
- On a schedule: ask what changed
- When someone asks, e.g. “We added an activity to our licence. What changes for us?”
What the agent does
- When a new or amended licence arrives
- When the change comes without a document
- Re-run the scope
- Questions that would settle the scope
- Periodic check
What stays with a person
- Confirming the new scope, including any regulator or obligation it removes
- Answering a scoping question from the agent's own judgement
- Deciding to apply for, change or give up a licence or registration
- Updating the compliance programme and policies for the new scope
What it never does
- Tell the client a regulator no longer applies before the compliance officer confirms it
- Answer a scoping question that no named person has answered
- Present a "may apply" regime as applying or not applying
- Use a rule about who is regulated from anywhere but an Arakan tool
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