The Restricted List Management solution enables your firm to maintain a clear, accurate, and up-to-date view of clients, affiliates, and other related entities that are subject to regulatory or firm-defined restrictions. The solution secures a single source of truth for entity records, ownership structures, and affiliate relationships that support meeting your firm’s risk and independence obligations. With entity relationships managed and validated in one place, your firm can consistently identify when restrictions apply and ensure they are reflected across acceptance, conflicts, and service approval processes.

By automating how restricted entities are identified, maintained, and applied, the solution reduces the manual effort and risk associated with disconnected systems. Unique rulesets (e.g. SEC, IESBA PIE, EU PIE, FRC) are provided out of the box to apply to your client hierarchies. Restricted status is automatically surfaced in search and within downstream workflows, ensuring the most current information is used whenever your firm evaluates new opportunities or reassesses existing relationships, helping meet your firm’s regulatory obligations at every decision point. This enables your teams to prevent impermissible services, strengthen governance, and operate with greater confidence and efficiency.

This solution helps your firm or network manage the client and engagement acceptance process in a controlled, consistent, and efficient way. We bring the information and risk you need to make a decision into a single, streamlined workflow, using current regulatory rules and client data to support confident acceptance decisions. As part of this process, the solution automatically pulls relevant data into the workflow and routing it to the appropriate reviewers for sign-off. Kingland facilitates Know Your Customer requirements by embedding KYC activities within the broader acceptance process, firms eliminate disconnected reviews and ensure regulatory obligations are met without slowing down engagement timelines.

By replacing manual and Excel-driven processes, we reduce administrative effort, improve consistency across teams, and provide a clear audit trail for regulators and internal stakeholders.

The solution supports both initial acceptance and ongoing continuance through configurable workflows, built-in risk indicators, and automated routing for review and approval, so your firm can focus attention where risk is highest. You can tailor questions, thresholds, and decision logic to align with your policies while maintaining real-time visibility into status and outcomes. With integration into your firm’s existing systems, acceptance processes are triggered at the right time, helping your firm move faster without compromising quality or risk management. 

The Independence and Service Approvals solution helps your firm evaluate independence checks and approve new services in a consistent, defensible, and scalable way. The solution centralizes independence checks, new and continuing service requests, and routes for required approvals in a single dynamic workflow, using integrated related entity data to ensure decisions are based on a complete and accurate view of the new client's relationships. By automating question delivery and applying firm-defined rules, your teams are guided through the right considerations at the right time to support meeting your firm’s regulatory obligations without slowing the speed of business.

Proven and scalable for rapidly growing networks, the solution monitors risk as independence information is collected. Dynamic routing ensures higher-risk requests receive appropriate review, while lower-risk services move forward through an auto-approval path. This enables your firm to confidently approve services, reduce manual effort, and maintain ongoing independence oversight as your client base and service offerings expand.

The Conflict Checking solution helps your firm identify, evaluate, and manage potential conflicts with new client services. The solution centralizes conflict checks into a single, dynamic workflow that draws on integrated entity and relationship data to provide a complete and accurate view of relevant connections across your firm. By automating question delivery and applying firm-defined rules, your teams are guided through the right disclosures and evaluations at the right time to discover where conflicts exist.

Designed to scale with growing and increasingly complex networks, the solution dynamically assesses risk as conflict data is collected. Higher-risk conflicts are routed for appropriate review, while lower-risk scenarios can move forward quickly. Where conflicts are identified, your firm can use the solution to define and document safeguards such as disclosure and consent with the client, separation of teams, or other approval conditions to help mitigate risk. These capabilities enable your firm to confidently manage conflicts, reduce manual effort, and proceed with client engagements more quickly.

The Client Data and Family Tree Management solution helps your firm create and maintain accurate, complete views of client relationship hierarchies through a guided process. The solution walks professionals through building new client trees or updating existing ones, drawing from multiple data sources including internal client databases, third-party providers, and public sources such as SEC filings. The solution also leverages AI to read client documentation describing their subsidiary relationships, such as PDFs or images, extracting ownership and relationship details and automatically organizing them into a clear family tree structure. This capability enables your teams to assemble robust client trees quickly without relying on manual data entry.

Ongoing maintenance is made significantly more efficient by leveraging the same data connections to identify change and highlighting where those changes occur in the tree. Your firm can prioritize preferred data sources to automate updates and continuously enrich client trees as new information becomes available.

The Independence and Risk Monitoring solution helps your firm monitor your business through dynamic dashboards that synthesize data across siloed systems and identify trends for independence, risk, and service line leaders to act upon. We bring together a single data store referencing each of your business systems to build dashboards on top of. By connecting independence, risk, and engagement-related data, the solution enables real-time visibility into emerging issues rather than relying on point-in-time reviews.

Built to support advanced analytics and business intelligence tools, the solution delivers configurable dashboards that highlight trends and patterns across the firm. Your leadership can analyze financial interest independence alongside breach data, compare regional risk profiles, or assess risk levels by client type or service line. By integrating and structuring this data and delivering meaningful visualizations, the solution helps your firm identify risks earlier, uncover insights that would otherwise remain hidden, and make more informed decisions as conditions change.

The Partner Rotation solution helps your firm identify and plan for partner rotation requirements with greater confidence and efficiency. The solution brings together data on professionals’ experience, interests, time and billing activity, career stage, and availability to surface the most suitable candidates for rotation. By connecting this information, the solution provides a clear view of the top candidates who are well positioned to step into this role, enabling your firm to make the best decisions for the faces of your most important client relationships.

The solution leverages independence rules to automatically exclude individuals who cannot take the position and offers questionnaires to deciding leaders to incorporate opinions. With forward-looking visibility into upcoming rotation requirements, service line leaders can plan proactively rather than reacting to deadlines.

The Breach Management solution helps your firm identify, assess, remediate, and report regulatory and policy breaches through a standardized process. The solution centralizes breach intake and documentation, ensuring issues are captured consistently and evaluated using firm-defined criteria. Guided workflows lead teams through assessment and resolution steps, helping accelerate response times while supporting meeting your firm’s regulatory obligations.

The solution strengthens oversight by capturing contributing factors, remediation actions, and outcomes in one place. With complete and auditable records, your firm is better prepared for internal reviews and external regulatory reporting.

The Business Relationship Independence solution helps your firm track and manage business, vendor, and other marketplace relationships that may impact independence and risk decisions. The solution provides a centralized view of these relationships, enabling your teams to understand how they intersect with clients. By maintaining this information in one place, the solution supports more informed evaluations and helps your firm meet its regulatory obligations with greater consistency.

By overlaying business relationship data with client acceptance and conflict checking processes, the solution drives additional efficiency for the firm. Potential issues can be identified earlier, and relevant context is automatically applied within downstream workflows, reducing redundant data collection and manual review. This enables your firm to better manage independence considerations, streamline decision-making, and maintain clear oversight as your business relationships evolve.

Tap into Kingland's decades-long experience executing business process transformation for the largest global firms and networks to assess your current state, chart your transformation plan, and prioritize your next steps.