Summary of changes
Firm Overall Responsibility - Renewal function assignment
The overall responsibility for ‘The firms legal department’ has been added to the certificate renewal wizard.
If an individual has this responsibility on their certificate, it will show on the certificate renewal wizard under the ‘SMF/Responsibilities’ column.
The responsibility will also show on the summary tab.
When the certificate renewal wizard is completed, the overall responsibility will be on the new draft certificate that has been created.
Include new responsibilities in a draft delegation
Individuals who have a draft/pending approval/approved delegation and an amendment is made to the linked statement of responsibilities /responsibilities statement, when viewing the delegation, a new alert banner will be displayed.
Selecting the banner will enable the confirmation overlay which will display the affected firms(s) and warning text.
If the delegation is updated, it will be set back to ‘Draft’ and should any of the involved individuals have already approved the delegation, their approval will be reset, and they will need to reapprove the delegation once more.
Anything that has been added to the statement of responsibility/responsibility statement will be available to add to the delegation via the change pages.
Anything that has been removed will be highlighted in red and will have the option to be removed if required.
Assessments - Make renotify bulk assessment respondents a long running process
When renotifying all respondents on a bulk assessment for 600+ individuals, a new notification will now appear on screen showing the progress percentage whilst the process is running.
Once the process is complete, a green success banner will be displayed.
Update import config page to be able to select regime
The overnight configuration page has been updated to allow imports for certain regimes to be automatically created, updated and removed.
When the ‘Automatic overnight individual import’ option has been enabled for a site, the ‘Configure overnight import’ overlay will display the following 3 new options:
o Regimes to automatically create
o Regimes to automatically update
o Regimes to automatically deactivate
Selecting each drop-down option will reveal the available regimes for each area
The following jurisdiction regime defaults will be configured on by default.
UK
o Create: All regimes
o Update/Deactivation: Conduct Rules
Singapore
o Create: All regimes
o Update/Deactivation: Conduct staff
Australia
o Create: All regimes
o Update/Deactivation: None
Ireland
o Create: All regimes
o Update/Deactivation: Non-regulated staff
The following jurisdiction regimes cannot automatically be updated or deactivated. Only 'New' individuals of the regime can automatically be imported.
UK
o Senior managers
o Certification
Singapore
o Core managers
o MRP and licenses
Australia
o Accountable Persons
Ireland
o Pre-approved controlled functions
o NED and Independent NEDs
o Controlled functions
Providing there are no conflicts with the individuals, when the overnight feed is run the individuals with the selected regimes will automatically be imported into IAR.
Support Tickets
MRM/Responsibilities: Unassigned Responsibilities – Firms legal department showing as unassigned.
If you have any questions or need some further information on the recent changes please get in touch: [email protected]