GBR_Setting Up Additional Tables for the U.K.
If you are setting up a compliance plan for the U.K. financial services sector, you must provide a full account of the compliance plan that you are implementing on the Compliance Plan page (in addition to completing the table setup described earlier in this topic). This account consists of a series of high-level, summary notes about how your company processes the different areas of regulation, such as supervision, continual professional development, and so forth.
|
Page Name |
Definition Name |
Navigation |
Usage |
|---|---|---|---|
|
Compliance Plan |
PCMP_COMPANY_TBL3 |
|
Describe a company's compliance plan. |
Use the Compliance Plan page (PCMP_COMPANY_TBL3) to describe a company's compliance plan.
Navigation:
This example illustrates the fields and controls on the Compliance Plan page.
Company Compliance Plan
Field or Control |
Description |
|---|---|
Compliance Plan Year |
Enter the year that the compliance plan is in effect. |
Plan Area
Field or Control |
Description |
|---|---|
Sequence Number |
A compliance plan can be divided into multiple areas or subsections. Enter a sequence number to use to identify the individual sections (areas) of the plan and to order the information both on-screen and on the Company Compliance Plan report. |
Compliance Plan Area |
Identify the compliance plan area that is linked to the sequence number. |