The procedure changed on Friday. Here is every branch that confirmed it before Monday.
A named record of who acknowledged the procedure, by branch, with the approval, the reminder and the export logged. The examiner gets a file, not a folder.
Everything on this page ships today. Roadmap items are marked and not sold.
730disciplinary actions filed by FINRA in 2024, with $75.6 million in fines and disgorgement ordered, 182 individuals barred and 354 suspended.Source: FINRA, Statistics: Regulatory Operations Key Data 2021 to 2025. Industry figure, not a Kayden Connect result.
The circular changed. The email cannot say who read it.
An eleven-branch credit union revises its customer identification procedure. The circular goes out by email to branch managers, who forward it, and it is mentioned at Friday's close in some branches. Three weeks later the examiner asks who was trained on the change and when. The compliance officer has a sent-items folder, two replies and a spreadsheet a manager keeps by hand. The credit union employs 240 people.
- One email, forwarded by some managers.
- Two replies and a hand-kept spreadsheet.
- The examiner gets a sent-items folder.
- One announcement, approved, pinned in every branch.
- 226 confirmed by name and branch; 14 pending, reminded.
- The examiner gets the evidence pack and the audit log.
Four screens, all shipped.
One procedure, approved, pinned in every branch.
The BSA officer drafts it. On HQ the approval rule holds it until the chief compliance officer has signed it off, and the approval is logged. Tellers see it pinned on the phone and at the desk, and confirm with one tap.
By branch, by name, with the time.
Branch tellers 118 of 126. Field agents and lending 46 of 48. One reminder to the 14 still pending, at most once every four hours, so the people who did their part are left alone.
- ATAngela TorresTeller, Alliance2d ago
- MGMarcus GreenHead Teller, Hulen2d ago
- KPKyle PattersonTeller, ArlingtonRemind
- VLVanessa LuTeller, Southlake1d ago
Turn the annual training into required reading with a due date.
BSA/AML annual training 2026: 221 complete, 15 not started, 4 never asked because they have no branch set. Late is marked late. The evidence pack is one click: a printable report and a CSV, and every download is recorded.
Every approval, publish, reminder and export, logged with who and when.
The audit log records the approval chain, the publish, each reminder, each late acknowledgement and each evidence-pack export, with actor, timestamp and IP address, exportable as CSV. The examiner reads the sequence instead of reconstructing it.
The people who can ask for the record, in their own words.
“Training for appropriate personnel”31 CFR 1020.210(a)(2)(iv), a minimum component of a bank's anti-money laundering program
What the record gives youRequired reading with due dates gives the examiner who completed the annual training, by name and date, without a hand-kept spreadsheet.
“must maintain records documenting the content of the programs and completion of the programs by registered persons”FINRA Rule 1240(b)(2)(C), Firm Element
What the record gives youCompletion by name and date, exported as a document and a CSV, beside the content itself in the Knowledge Hub.
“provide training to its employees, to enable them to comply with the provisions of this Act and the internal rules applicable to them”Section 43(a), Act 38 of 2001, text as enacted (amended 2017)
What the record gives youThe inspector's question "who was trained on the RMCP" has a numeric answer, by branch, the same day.
Cited as what a firm must be able to show. Kayden Connect does not certify compliance with any of them.
What it does not do.
Where this use case lands.
- Acknowledgement on any post
- Required reading with due dates
- Analytics for the last 7 days
One office that needs the record and nothing else.
- Pinned announcements
- Coverage by department and branch
- Single sign-on
- Analytics for the last 90 days
Two or more branches, and a compliance officer who needs to see which one is behind.
- Approval before publishing
- Evidence pack and audit log export
- Executive dashboard, 365-day analytics
An examiner, a regulator, an approval chain and an audit trail. The organisation on this page. Talk to us.
USD per user per month. Annual billing saves 20% on Spark and Command. Every limit is on the pricing page.
Northgate Credit Union
A fictional organisation. Every name, number and screen on this page is invented to show how the product behaves.
Bring the circular nobody can prove was read.
Early access is by invitation. Tell us about your organisation and we will be in touch.
Same record, other situations