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Senior Managers and Certification Regimes - Online Poll Results

Lombard Risk Senior Managers and Certification Regimes - Online Poll Results 22nd January 2015 Which function within your organisation has or will have responsibility for implementation of the Senior Managers and Certification Regimes? 65 0. 15 0. 15 0. 10 20 30 40 50 60 70 Compliance Legal Human Resources Each business Other Multi-functional working pa... What percentage of your staff do you believe will be caught by the Regimes? Less than 5% (22%) 5% - 10% (17%) 10% - 15% (22%) 15% - 20% (12%) Greater than 20% (27%) How do you propose to keep track of compliance with the requirements, particularly with regard to new appointments and staff movements? Do not know 11% Manually with an army clerks 21% of Relying upon HR to tell us / deal with it 32% Using some type of system 37% Where do you believe the information should reside, given the sensitivity/ confidentiality of some information? Do not know (0%) Compliance function (40%) Human Resources (35%) Within the businesses (0%) centralised, access restric... (25%) Other (0%) How do you propose to manage the production of responsibility maps? We have not given thought to this issue 33% In house solution 28% Copying and pasting from various sources e.g. spreadsheets and Word documents 39% Third Party Application 0% Download the FULL compliance update: Meeting the logistical challenges and addressing the requirements of the Ĺ enior Managers and Certification Regimes http://ow.ly/HO8il Lombard Risk - Managing collateralised trading | Enabling regulatory compliance Piktochart make information beautiful LO

Senior Managers and Certification Regimes - Online Poll Results

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The Senior Managers online poll results from the recent online compliance updated on meeting the logistical challenges and addressing the requirements of the Senior Managers and Certifications Regimes...

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