SENIOR MANAGERS &
CERTIFICATION REGIME

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:
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Evidence that SMFs have discharged their ‘duty of responsibilities’
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Governance Map and Statements of Responsibilities
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Alignment of objectives and risk appetite
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Process and Control Mapping
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Regulatory Risk Assessment and Controls Effectiveness Assessment, Capture
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Map and report on operational losses
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Capture Conduct Rule breaches
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Performance and risk of key ‘SMR related’ processes
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Present a historical snapshot
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Store documents such as Regulatory References
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Support an attestation process
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EXAMPLE EXPERIENCE
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A global firm of professional intermediaries that operates in the world's financial, energy and commodities markets
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A global French bank ranked as one of the world's largest bank by total assets
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