Security and governance
Security and governance checklist
Good governance is a set of repeatable decisions: what information is needed, who may access it, who owns each action and how exceptions are handled.
Why this matters
Client review work brings together sensitive context, professional judgement and commitments across a team. Unclear access or ownership can create avoidable exposure and inconsistent service.
A practical checklist helps a firm inspect the way work is actually performed. It is not a certification or a substitute for legal, regulatory, privacy or information-security advice.
Practical principles
Collect with purpose
Keep information because it supports a defined client service, decision or record—not simply because it may be useful later.
Limit access deliberately
Give people the access required for their role and revisit it when responsibilities change.
Make ownership visible
Every client commitment, exception and follow-up should have a named owner and a realistic due date.
Plan for correction
Define how the team reports, contains, corrects and learns from mistakes or unexpected access.
A practical process
Map the information
Identify what enters the review workflow, where it comes from, why it is needed and where it is retained.
Review roles and access
Check that owners, administrators and team members have appropriate permissions for their responsibilities.
Confirm handling rules
Document expectations for sharing, exporting, storing, correcting and disposing of review information.
Check third-party dependencies
Understand which services support the workflow, what information they receive and who manages the relationship.
Prepare an exception path
Give staff a clear route for reporting incorrect access, lost information, suspicious activity or client concerns.
Review on a rhythm
Revisit access, ownership, overdue actions and exceptions after staff changes and at planned intervals.
Key takeaways
- Security and governance depend on everyday operating decisions, not a one-off document.
- Access, purpose, ownership and exception handling should be explicit.
- Use this checklist as an operational prompt, then apply the policies and obligations relevant to your firm.
Put the guide into practice