Risk Register
Every risk, breach, and decision — in one place.
The registers fund managers and financial services providers actually maintain — risk, breaches, incidents, PEPs & sanctions, audit findings, gifts & benefits — with items, owners, priority, status, escalation, and a full audit trail.
Capabilities
Built for the way compliance teams actually operate.
Not a generic ticket tracker. Registers and items behave the way an AFSL compliance officer, fund manager, or compliance committee expects them to.
Create any register, in seconds
Spin up registers for risk, breaches, incidents, PEPs & sanctions, audit findings, gifts & benefits, conflicts of interest, and more — each with its own schema, owners, and review cycle.
Owner, priority, status
Every item gets a subject, description, named owner, priority, and status. Items live in a structured table — searchable, filterable, exportable.
Escalation on a click
Escalate an item up the chain and the change is timestamped, attributed, and reflected on the committee dashboard. No more lost email threads.
Immutable history per item
Every status change, comment, owner reassignment, evidence upload, and waiver is captured. Roll back to a prior state to see exactly what was known when.
Cross-linked across the platform
Link risk items to mitigating policies, related obligations, and supporting training. Evidence files are re-usable across registers.
Committee-ready exports
One-click export of a register or a filtered slice — PDF, CSV, or full evidence ZIP — ready to drop into a board pack or hand to an auditor.
Register templates
The registers your compliance plan already references.
Activate the registers that apply to your licence and operating model. Each ships with sensible defaults, suggested owners, and review cadences — customise as you go.
Risk Register
Inherent and residual scoring on a 5×5 matrix, mitigating controls, treatments with owners and due dates, periodic review cycles.
Breaches Register
Breach assessment workflow — RG 78 reportable / non-reportable, root-cause, remediation, ASIC lodgement evidence.
PEPs & Sanctions
Politically exposed person and sanctions screening results, ongoing-monitoring outcomes, and dispositions.
Audit Findings
Internal and external audit findings — observation, recommendation, owner, target close date, follow-up evidence.
Regulatory Correspondence
ASIC, APRA, AUSTRAC, AFCA correspondence — inbound notices, outbound responses, with deadlines and supporting files.
Gifts & Benefits
Disclosures above materiality threshold, approval workflow, manager sign-off, and quarterly committee review.
Incidents
Operational incidents — impact assessment, immediate actions, root-cause analysis, lessons-learned register entries.
Cyber & Data Incidents
Notifiable data breach assessments, security incident logs, vendor incidents, and OAIC engagement records.
Items
Items behave the way compliance committees expect.
Every register item is a structured record with a subject, description, owner, status, and priority. Add a comment, attach evidence, escalate to the next reviewer, or close it out — every change is timestamped, attributed, and surfaced in the audit log.
Subject + description + due date
Owner (with escalation chain)
Priority — low / medium / high / critical
Status — open / in progress / under review / closed / waived
Evidence files with SHA-256 hashes
Per-item audit history with full diff
The lifecycle
From open to evidenced close, in four steps.
1
Pick or create a register
Start from the template library — Risk, Breaches, Incidents, PEPs & Sanctions, Audit Findings, and more — or define a custom register with your own fields.
2
Add an item
Subject, description, owner, priority, status, due date. Attach evidence files. Link to related policies, obligations, or training.
3
Assign and escalate
Hand the item to an owner. Escalate to the next reviewer when needed — the change is logged with actor, timestamp, and reason.
4
Close, evidence, and review
Close items with evidence attached and a closing comment. Quarterly committee reviews pull a filtered slice into the meeting pack automatically.
Built for fund managers & FSPs
Designed against a real licensee's real workload.
Gallantree runs its own AFSL compliance function on this platform. The registers, escalation flows, and evidence patterns are the ones we use every day — not a translation of a US enterprise GRC product.
Designed against the obligations of an Australian Financial Services Licensee
Defaults aligned to ASIC RG 78 (breach reporting), RG 271 (IDR), and AUSTRAC AML/CTF
Item escalation matches how compliance committees actually run
Evidence and audit log meet the bar an external reviewer expects
Multi-tenant — manage multiple funds, entities, or licensee groups under one workspace
Cross-linked
Calendar, Policies, Training — same spine.
Link register items to obligations that triggered them, or the ones they unblock.
Map register items to the policy they breached or the control they evidence.
Trigger refresher training when a register item indicates a knowledge gap.
Bring every register into one platform.
Start with the templates that match your compliance plan and have a live register in minutes.