Incident Logging

Capture, classify, and manage compliance incidents from first report through to resolution — with an immutable audit trail throughout.

What it does

The Incident Logging app provides a structured workflow for recording, assessing, and closing compliance incidents. Whether it's a personal account dealing breach, a failed training deadline, a suspicious transaction report, or a client complaint with regulatory implications, incidents are captured in a consistent format that satisfies regulatory recordkeeping obligations.

Every action taken on an incident — status changes, notes, owner assignments — is recorded with a timestamp and cannot be modified after the fact.

Key capabilities

• Structured capture. Incidents are logged with incident type, description, date of discovery, affected entities, estimated severity, and initial assessment.
• AI-assisted classification. The platform suggests a regulatory classification and relevant rule reference based on the incident description — reviewable and editable by the compliance officer.
• Owner assignment and escalation. Incidents are assigned to a named owner with a target resolution date. Escalation paths are configurable by incident type.
• Root cause and remediation tracking. Each incident records the identified root cause, remediation steps taken, and whether the incident is reportable to a regulator.
• Immutable audit trail. Every state change is logged and cannot be edited. The full incident history is available for regulatory examination.
• Reporting. Generate an incident summary report for your compliance committee, filtered by date, type, severity, or status.

Typical workflow

1. An incident is reported — either by a staff member via the platform or entered directly by the compliance officer.
2. The compliance officer reviews the initial report, confirms the classification, and assigns an owner.
3. Owner investigates and logs findings, remediation steps, and root cause.
4. Compliance officer closes the incident (or escalates for regulatory notification).
5. The incident record is archived and included in the next compliance committee incident summary.