Digital Compliance Registers for Regulated Industries
Maintain all regulatory and internal registers in one secure platform. Breaches, complaints, conflicts of interest, reportable situations, and incidents are captured in structured digital registers with workflows, audit trails, and export-ready reporting.
Why Aggregators Choose Our Registers Module
Purpose-built for ASIC breach reporting and compliance registers
Digital Register Platform
CentralisedMaintain breaches, complaints, conflicts, reportable situations, gifts, incidents, and training records in one secure, structured platform.
ASIC-Aligned Workflows
CompliantCustomisable workflows matching ASIC, AFCA, and organisational requirements including RG 78 breach reporting and RG 271 complaints handling.
Status & Workflow Tracking
End-to-endTrack every entry from initial log through investigation, remediation, and closure with clear ownership and due dates.
Export-Ready Reporting
InstantRegister-level and portfolio-level reporting with exportable views for internal reviews, licensee oversight, and regulator queries.
Comprehensive Register Management Features
Everything you need to maintain compliant regulatory registers
Breach & Reportable Situations
Digital register for breaches and reportable situations aligned with ASIC RG 78 requirements.
- Breach logging
- Reportable situations
- RG 78 alignment
- ASIC reporting
Complaints Register
Complaints register with workflows aligned to RG 271 and AFCA requirements.
- Complaint logging
- RG 271 workflows
- AFCA alignment
- Resolution tracking
Conflicts of Interest
Register for conflicts of interest with disclosure workflows and management actions.
- Conflict disclosure
- Management actions
- Review workflows
- Ongoing monitoring
Gifts & Benefits Register
Track gifts, entertainment, and benefits received or given with approval workflows.
- Gift logging
- Approval workflows
- Threshold alerts
- Policy compliance
Incident Register
Log and track operational incidents, near misses, and risk events.
- Incident logging
- Root cause analysis
- Remediation tracking
- Trend reporting
Evidence Management
Attach documents, emails, call notes, and remediation plans to each register entry.
- Document upload
- Email attachment
- Call notes
- Remediation plans
Registers Module FAQ
What registers are included in the CompliCentral Registers Module?
The Registers Module includes digital registers for breaches and reportable situations, complaints, conflicts of interest, gifts and benefits, referrals, outsourcing arrangements, incidents, and training records—all aligned with ASIC, AFCA, and better practice governance frameworks.
Related: What fields are captured for each register? • What regulatory frameworks are supported?
How does the module align with ASIC breach reporting requirements?
The module includes customisable workflows matching RG 78 breach reporting requirements. It captures required fields, tracks investigation and remediation, maintains timestamped audit trails, and generates reports suitable for ASIC notifications.
Related: How are reportable situations handled? • How does complaints handling align with RG 271?
Why do aggregators need digital compliance registers?
Aggregators need digital registers to maintain all regulatory records in one secure platform, improve recording accuracy through guided workflows, reduce effort responding to audits and regulator queries, and achieve transparency showing exactly what was reported and how it was handled.
Related: What are the risks of spreadsheet-based registers? • How do registers support governance?
When should organisations implement the Registers Module?
Organisations should implement the Registers Module when managing registers across multiple spreadsheets, facing increased regulatory scrutiny, wanting to improve breach and complaint handling, or needing better audit trails for compliance reviews.
Related: How long does implementation take? • What is the ROI?
Where does the Registers Module fit in the compliance framework?
The Registers Module sits alongside Compliance for obligations tracking, Audits for evidence collection, and Onboarding for training records. It provides the central repository for all compliance events and regulatory registers.
Related: How does it connect to other modules? • Where is register data stored?
Who uses the Registers Module?
Compliance officers, risk managers, broker principals, operations teams, and HR departments use the Registers Module to log, track, and report on compliance events and regulatory registers.
Related: Who approves register entries? • What access controls are available?
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