Contents

Summary of Changes

• Audit – Certificates
• Audit – Individual reasonable step evidence
• Cert history report – Add function dates
• Apply Conduct Rule 4
• Live Responsibilities Statement without Key Functions
• Handover - Allow handover date to be any date on closure
• Handover – Do not force SMFs to be made Not applicable when they are not multi assigned
• SoR – Ability to remove an individual’s first draft SoR
• SoR - Attach more documents to SoR
• Audit – Individual Settings

Support Tickets

• Certificates: View issued certificate summary error

Summary of Changes

Audit – Certificates

Audit history has been added to all certification summary pages.

On each certificate summary, there will be a new button titled ‘View audit history’.

The audit history will track all additions, updates and removals of the following fields on the certificate:

Certificate

• Individual
• Firm
• Approval email sent date
• Accepted by individual
• Issue date
• Expiry date
• Revoked date
• Revoked reason

SHFs

• Function title
• Narrative
• Start date
• End date

SMFs

• Function title

Custom responsibilities

• Responsibility

Text

• Additional text

Audit – Individual reasonable step evidence

Audit history has been added to reasonable step evidence overlays.

On each reasonable step evidence overlay, there will now be a ‘View audit history’ button.

The audit will track all additions, updates and removals of the evidence summary page, including:

• Name
• Description
• Evidence type
• Relevant date/time
• Evidence location
• Description/File path/URL/Attachment name
• Associated Prescribed/Custom Responsibilities

Cert history report – Add function dates

Function start and end dates have been added to the certificate history report.

The new columns are positioned to the right of the ‘Function’ column.

Apply Conduct Rule 4

Conduct Rule 4 has been applied to all individuals who are in a firm where consumer duty is applicable.

This can be reflected in areas such as the certification summary, (if conduct rules are configured to show).

Live Responsibilities Statement without Key Functions

Responsibilities statements can now be set to ‘Live’ without requiring a key function.

The responsibility statement can now be submitted if it has at least one of the following assigned:

• Key function
• Responsibility
• Committee
• Direct report

The ‘Responsibilities Statement’ checklist has been updated to reflect the new requirements.

Once at least one key function, responsibility, committee or direct report has been assigned, the ’Continue’ button will appear on the responsibilities statement.

The responsibilities statement can then be continued as per usual.

Handover - Allow handover date to be any date on closure

When closing a handover, it is now possible to enter any handover date.

Previously, the handover date could not be more than six months after the creation date.

Handover – Do not force SMFs to be made Not applicable when they are not multi assigned

On the handover wizard, SMFs can now be removed from an individual’s SoR/RS. Previously, SMFs could only be removed if the SMF was shared with another individual.

On the ’Functions’ tab, the ’Remove’ option will be available for all SMFs.

SoR – Ability to remove an individual’s first draft SoR

An individual’s first draft statement of responsibilities can now be cancelled.

On the statement of responsibilities page, there is a new button on draft SoRs labelled ‘Cancel statement of responsibilities’.

When the button is pressed, users will be prompted to add a reason and confirm the cancellation.

Afterwards, a new draft SoR can be raised again for the individual.

SoR - Attach more documents to SoR

Multiple documents can now be uploaded when submitting a statement of responsibilities.

On the ‘Statement of responsibilities submission’ page, when the ‘Form J notification’ submission type is selected, the ‘Choose files’ button will remain after each upload.

Once the submission is completed, links to all uploaded documents will be on the statement of responsibilities.

Audit – Individual Settings

Audit history has been added to all of the tabs on the ‘Individual settings’ page. (Additional Fields, Documentation folders, Employment statuses, Department, Location, Title & Document types).

On each tab, there will be a ‘View audit history’ button.

The audit history will log all additions, updates and deletions of the fields on each tab.

System default fields that are used in ‘Titles’ and ‘Employment statuses’ will not be audited, since they can’t be updated or removed. All user-created fields on the ‘Titles’ and ‘Employment statuses’ tabs will be audited.

Support Tickets

• Certificates: View issued certificate summary error

If you have any questions or need some further information on the recent changes please get in touch: [email protected].