Summary of changes
KI enhancements – Attach documents to KI
Documents can now be attached to key indicator records.
When adding or updating a key indicator record, at the bottom of the form will be a new documents section.
Clicking ‘+ Add document’ will bring up an overlay that will allow you to add a document.
Clicking ‘+ Add document’ will bring up an overlay that will allow you to add a document.
Once the document is uploaded and the record is saved, the document can be seen on the breach overlay. Clicking on the document name will download the document.
Import additional data automatically
Additional data sent via the data feed can now be imported automatically if required. This option will need to be requested from support.
A new configuration setting has been added to the system admin configuration page (defaulted to ‘Off’) and when turned on all valid additions, updates and deletions will be imported automatically.
Any invalid records will remain on the exceptions page to be dealt with manually.
Delegation auto reminders
Delegations can now be set to send out auto reminders for all involved individuals.
When the ‘Continue’ button is clicked, and the delegation needs to be approved, a new field will show called ‘Recurring approval reminder period’.
Any number of days or weeks can be selected to schedule the reminder. Thereafter, any involved individuals who have not reviewed the delegation will be sent a recurring reminder. (E.g., if the period is set to 3 days, then every 3 days, all involved individuals will be sent an e-mail asking them to review the delegation).
Client enhancement - Handover Delegation from delegate to delegate
When viewing an active delegation, it is now possible to transfer the delegation to a new delegate as well as a senior manager/certified individual.
The delegation will now display the following options:
When selecting the ‘To transfer to a new delegate’ option, the transfer delegation wizard will be displayed. The new delegate must be selected from the list of available individuals.
After the individual is selected and confirmed, the wizard will update and display the name of the selected individual along with extra fields for completion.
The ‘Firm to transfer’ field will be automatically populated if the delegating individual is in a single firm. Where they are in multiple firms, all the firms will be listed for selection provided the new delegate is in all the firms. If the new delegate is not in a firm, the firm will be disabled.
The 'Delegation start date’ and ‘Do you want to end the current delegation’ fields must be completed before confirming the transfer.
Upon selecting the confirm option, the new delegation will be created and the existing delegation will either be closed or remain open depending on the selected option. The delegation can then be progressed in the usual way.
Delegation email timestamp
When viewing a delegation that is in a ‘ready to respond’ state, the date and time the senior manager, delegate or reviewer(s) were last notified will be displayed within the individual’s details area on the delegation page. Hovering over the email icon, it will display a tool tip advising that the individual has received the email notification but not yet viewed it.
When the individual has selected the link in the email to view the delegation, the icon changes as before and date and time senior manager, delegate or reviewer(s) were last viewed the delegation is also displayed. Hovering over email viewed icon will display a tool tip advising that the individual has viewed the email but not yet agreed the delegation.
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. This will need to be requested from support.
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]