This folder contains generated operational outputs that are not official compliance publications. These include management reports, testing reports, monitoring dashboards, audit summaries, and other generated documents that support compliance operations but are not themselves approved manuals or policies.
What Belongs Here
| Output Type | Description | Example |
|---|---|---|
| Management reports | Periodic compliance summaries for the Board or senior management | Quarterly compliance status report |
| Testing reports | Results of control testing, including pass/fail rates and findings | AML control testing Q3 2026 |
| Monitoring reports | Output from ongoing compliance monitoring activities | Transaction monitoring summary |
| Audit summaries | Internal or external audit findings, recommendations, and responses | Annual internal audit summary |
| Memoranda | Internal communications about compliance matters | BCMS high-level memorandum |
| Flow diagrams | Visual representations of BCMS processes and architecture | Compliance operations flow diagram |
| Gap analyses | Assessments of compliance gaps identified during reviews | FATF standards gap analysis |
What Does NOT Belong Here
- Approved compliance manuals →
09 Publications/(with version control and approval metadata) - Approved PDF artifacts →
09 Publications/Generated/ - Change requests →
08.1 Change Requests/ - Issues →
08.2 Issues/ - Review packs →
10 Review Packs/
Naming Convention
Files should be named descriptively with a date prefix:
YYYY-MM-DD [Report Type] [Short Description].[ext]
2026-07-28 Management Report BCMS Overview.pdf
2026-07-28 Technical Memo BCMS Implementation.pdf
2026-07-28 Flow Diagram Compliance Operations.png
Classification
All outputs carry the classification field in their frontmatter (where applicable) or follow the default internal classification. Outputs containing client-specific or sensitive data should be marked confidential.
Current Outputs
- BCMS High-Level Memorandum (markdown + PDF)
- BCMS Technical Implementation Memorandum (markdown + PDF)
- BCMS Compliance Operations Flow (HTML + PDF + PNG)