The operating system for introducer-led growth
RQ helps professional firms send, manage, and prove referrals — with built-in compliance, clear tracking, and real visibility across the firm.
How does RQ create audit trails for regulatory compliance?
Category: ICAEW & RQ
RQ creates comprehensive audit trails designed to meet regulatory requirements including those in the ICAEW DPB Handbook. Every referral in RQ records: - **Creation details** – Who created the referral, when, and from which client record - **Partner selection** – Which referral partner was chosen and why - **Client consent** – Evidence of when and how client consent was obtained - **Approval workflow** – Full history of who approved the referral and any conditions - **Communications** – Log of all communications sent between parties - **Status changes** – Complete history of referral progression through your workflow - **Outcome tracking** – Final disposition and any fees received This detailed trail can be exported for regulatory inspections or internal compliance reviews.