BRIEF OVERVIEW

As part of their overall approach to the SMCR, banks are starting to consider software solutions to enable them to effectively meet their current and on-going regulatory obligations under the SMCR.    Lysis has assisted client’s in their selection of SMCR technology systems support to satisfy the following requirements:

• Evidence that SMFs have discharged their ‘duty of responsibilities’

• Governance Map and Statements of Responsibilities

• Alignment of objectives and risk appetite

• Process and Control Mapping

• Regulatory Risk Assessment and Controls Effectiveness Assessment, Capture

• Map and report on operational losses

• Capture Conduct Rule breaches

• Performance and risk of key ‘SMR related’ processes

• Present a historical snapshot

• Store documents such as Regulatory References

• Support an attestation process

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EXAMPLE EXPERIENCE

• A global firm of professional intermediaries that operates in the world's financial, energy and commodities markets

• A global French bank ranked as one of the world's largest bank by total assets

RELATED SERVICES

Section 166

Regulatory Interventions

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