Our rules registers are just that, a register line by line of all the rules with preliminary assessments about the applicability of each rule to a regulated firm. This allows you to get on with your risk and control self assessment, and mapping your controls to rules.
Your Senior Managers are required to take reasonable steps to ensure they are complying with all the relevant rules that apply to their business. Our Rules Registers provide the evidence that supports that attestation.
Our Rules Registers provide you with a complete line by line of every article, rule, guidance for a specific law or chapter of rules, including preliminary assessments about applicability of the individual rule to a regulated firm. Allowing you to add your own business-specific applicability assessment and map to controls and residual risks. This in turn helps inform your monitoring and testing programmes.
We have used our years of experience in building these registers for banks to ensure that you are able to complete your mapping in a practical and proportionate way that remains comprehensive.
We also provide Inventories that allows you to evidence total capture of relevant laws and regulations.