Culture Adopting’ Clients values & behaviours

1. Does your business have in place a system to identify and map clients own values and behaviours to our own? *

Yes

No

2. Do you have in place a system to identify mismatches between your own and clients values and behaviours? *

The Board understands this as a multi-faceted key risk involving front middle and back office teams. It is front and centre of mind of the board and colleaguaes, with tasks allocated to individuals to carry out.

The board receive reports from the senior management team. The board have required processes procedures and controls to be put in place, which have been audited and are regularly reviewed.

The Board see this as a compliance issue. We understand that the compliance team have in place appropriate reporting controls.

We deal with issue management as and when those come up

Something else

3. Do you have in place systems and controls to adopt the agreed values and behaviours that your clients wish you to adopt? *

The Board understands this as a multi-faceted key risk involving front middle and back office teams. It is front and centre of mind of the board and colleaguaes, with tasks allocated to individuals to carry out.

The board receive reports from the senior management team. The board have required processes procedures and controls to be put in place, which have been audited and are regularly reviewed.

The Board sees this as a compliance issue. We understand that the compliance team has in place appropriate reporting controls.

We deal with issue management as and when those come up

Something else

Environmental Compliance

4. Does your business have a policy on environmental impact? *

Yes

No

5. Does your business have management systems in place such as ISO 9001 / ISO14001 or something similar? *

Yes

No

6. Does your business have systems and controls to monitor its environmental impact? *

Yes

No

7. Does your business have systems and controls to monitor its suppliers environmental impact? *

Yes

No

8. Does your business collect monitor and evaluate data on environmental impact? *

Yes

No

9. Does your business collect monitor and evaluate data on environmental impact and use it to benchmark and improve performance? *

Yes

No

10. Does your business consider climate change issues in its corporate strategy or business plan, including examples of where it has mapped these against the UN Sustainable Development Goal (SDG) 13 (Climate Action)? *

Yes

No

11. Has your business set a Net Zero Target, a Science Based Target or a Carbon Budget? *

Yes

No

12. Has your business disclosed its approach to climate risks and opportunities and performance against its targets? *

Yes

No

13. Does your business operate a climate change risk register? *

Yes

No

14. Is the Supplier signed up to Race to Zero? *

Yes

No

Governance and legal risk management

15. Is your business established in a recognised form in the country which you are based? *

Yes

No

16. Does the board meet regularly in accordance with its governing documentation, and are those meetings, and decisions, recorded or documented? *

The Board understands this as a multi-faceted key risk involving front middle and back office teams. It is front and centre of mind of the board and colleaguaes, with tasks allocated to individuals to carry out.

The board receive reports from the senior management team. The board have required processes procedures and controls to be put in place, which have been audited and are regularly reviewed.

The Board sees this as a compliance issue. We understand that the compliance team have in place appropriate reporting controls.

We deal with issue management as and when those come up

Something else

17. Does each member of the board and management teams have assigned responsibilities? *

The Board understands this as a multi-faceted key risk involving front middle and back office teams. It is front and centre of mind of the board and colleaguaes, with tasks allocated to individuals to carry out.

The board receive reports from the senior management team. The board have required processes procedures and controls to be put in place, which have been audited and are regularly reviewed.

The Board sees this as a compliance issue. We understand that the compliance team have in place appropriate reporting controls.

We deal with issue management as and when those come up

Something else

18. Are the returns that your business must make or disclose to all public registers, up to date? *

The Board understands this as a multi-faceted key risk involving front middle and back office teams. It is front and centre of mind of the board and colleaguaes, with tasks allocated to individuals to carry out.

The board receive reports from the senior management team. The board have required processes procedures and controls to be put in place, which have been audited and are regularly reviewed.

The Board sees this as a compliance issue. We understand that the compliance team have in place appropriate reporting controls.

We deal with issue management as and when those come up

Something else

19. Are there any material changes to any entry on a public register that have not yet been reported? *

Yes

No

20. Does your business have contracts in place with all suppliers? *

The Board understands this as a multi-faceted key risk involving front middle and back office teams. It is front and centre of mind of the board and colleaguaes, with tasks allocated to individuals to carry out.

The board receive reports from the senior management team. The board have required processes procedures and controls to be put in place, which have been audited and are regularly reviewed.

The Board sees this as a compliance issue. We understand that the compliance team have in place appropriate reporting controls.

We deal with issue management as and when those come up

Something else

21. Does your business have contracts in place with all suppliers and partners used in connection with products and services offered to clients? *

The Board understands this as a multi-faceted key risk involving front middle and back office teams. It is front and centre of mind of the board and colleaguaes, with tasks allocated to individuals to carry out.

The board receive reports from the senior management team. The board have required processes procedures and controls to be put in place, which have been audited and are regularly reviewed.

The Board sees this as a compliance issue. We understand that the compliance team have in place appropriate reporting controls.

We deal with issue management as and when those come up

Something else

22. Does your business have a complaints handling process in place? And is reporting on complaints received made available to the relevant Management Team and the Board? *

Yes

No

23. Does your business have any current pending or threatened legal claims or disputes with clients and customers? *

Yes

No

24. Does your business have any current pending or threatened legal claims or disputes with suppliers, regulators, competitors or other businesses? *

Yes

No

25. Does your management team receive information on current pending or threatened legal claims or disputes with any authority government body, or regulator? *

Yes

No

26. Have you acquired any part of your business from a vendor, or disposed of any part of your business? *

Yes

No

27. Has your Management Team completed an assessment of all the regulatory standards to which your products and services need to conform? *

Yes

No

Governance and legal risk management

28. Do you have independent sources of capital? Or has your Board put in place with your investors or lenders, effective arrangements to provide adequate capital for your business? *

Yes

No

29. Has your business set a risk appetite? *

Yes

No

30. Does each operational unit operate a risk register, including legal risk? *

Yes

No

31. Does your management assess risk against agreed SWOT and PESTLE metrics? *

Yes

No

32. Does your business have in place processes, procedures and controls for each product and service offered to clients? *

The Board understands this as a multi-faceted key risk involving front middle and back office teams. It is front and centre of mind of the board and colleaguaes, with tasks allocated to individuals to carry out.

The board receive reports from the senior management team. The board have required processes procedures and controls to be put in place, which have been audited and are regularly reviewed.

The Board sees this as a compliance issue. We understand that the compliance team have in place appropriate reporting controls.

We deal with issue management as and when those come up

Something else

33. Has your business put in place insurance coverage including, where relevant, professional indemnity, public liability, employers liability, product liability, business interruption/property damage (BIPD), cyber, and single project insurances? *

Yes

No

Monitoring and due diligence

34. Does your business have and implement internal controls and audit coverage? *

Yes

No

35. Does your business have appropriate management information systems to measure business performance and risks? *

The Board understands this as a multi-faceted key risk involving front middle and back office teams. It is front and centre of mind of the board and colleaguaes, with tasks allocated to individuals to carry out.

The board receive reports from the senior management team. The board have required processes procedures and controls to be put in place, which have been audited and are regularly reviewed.

The Board sees this as a compliance issue. We understand that the compliance team have in place appropriate reporting controls.

We deal with issue management as and when those come up

Something else

36. Does your business have in place policies procedures and processes for business resumption, continuity, recovery, and contingency plans? *

The Board understands this as a multi-faceted key risk involving front middle and back office teams. It is front and centre of mind of the board and colleaguaes, with tasks allocated to individuals to carry out.

The board receive reports from the senior management team. The board have required processes procedures and controls to be put in place, which have been audited and are regularly reviewed.

The Board sees this as a compliance issue. We understand that the compliance team have in place appropriate reporting controls.

We deal with issue management as and when those come up

Something else

37. Does your business have in place technology recovery testing program? *

The Board understands this as a multi-faceted key risk involving front middle and back office teams. It is front and centre of mind of the board and colleaguaes, with tasks allocated to individuals to carry out.

The board receive reports from the senior management team. The board have required processes procedures and controls to be put in place, which have been audited and are regularly reviewed.

The Board sees this as a compliance issue. We understand that the compliance team have in place appropriate reporting controls.

We deal with issue management as and when those come up

Something else

38. Does your business have in place ICT System compatibility, reliability, and quality of design policy and processes? *

The Board understands this as a multi-faceted key risk involving front middle and back office teams. It is front and centre of mind of the board and colleaguaes, with tasks allocated to individuals to carry out.

The board receive reports from the senior management team. The board have required processes procedures and controls to be put in place, which have been audited and are regularly reviewed.

The Board sees this as a compliance issue. We understand that the compliance team have in place appropriate reporting controls.

We deal with issue management as and when those come up

Something else

39. Do you have in place a whistleblowing procedure for your colleagues to use? *

The Board understands this as a multi-faceted key risk involving front middle and back office teams. It is front and centre of mind of the board and colleaguaes, with tasks allocated to individuals to carry out.

The board receive reports from the senior management team. The board have required processes procedures and controls to be put in place, which have been audited and are regularly reviewed.

The Board sees this as a compliance issue. We understand that the compliance team have in place appropriate reporting controls.

We deal with issue management as and when those come up

Something else

People, Diversity and Inclusion

40. Have all your colleagues been assessed for status as employee, worker, consultant, self employed or other status? *

Yes

No

41. Do you have in place anti bribery and corruption policies and procedures? *

The Board understands this as a multi-faceted key risk involving front middle and back office teams. It is front and centre of mind of the board and colleaguaes, with tasks allocated to individuals to carry out.

The board receive reports from the senior management team. The board have required processes procedures and controls to be put in place, which have been audited and are regularly reviewed.

The Board sees this as a compliance issue. We understand that the compliance team have in place appropriate reporting controls.

We deal with issue management as and when those come up

Something else

42. Can your business evidence compliance with legislation to prohibit modern slavery? *

The Board understands this as a multi-faceted key risk involving front middle and back office teams.

The Board receives reports from the senior management team.

The Board see this as a compliance issue. We understand that the compliance team has in place appropriate reporting controls.

We deal with issue management as and when it arises.

Something else.

43. Does your business observe auto enrolment into work place pension scheme requirements? *

Yes

No

44. Have all your colleagues signed appropriate terms of engagement with your firm?

Yes

No

45. Does your business implement policies on equality of opportunity and workplace cultures?

The Board understands this as a multi-faceted key risk involving front middle and back office teams. It is front and centre of mind of the board and colleaguaes, with tasks allocated to individuals to carry out.

The board receive reports from the senior management team. The board have required processes procedures and controls to be put in place, which have been audited and are regularly reviewed.

The Board sees this as a compliance issue. We understand that the compliance team have in place appropriate reporting controls.

We deal with issue management as and when those come up

Something else

46. Do you have an active management of downstream supply chains, so that the principles of diversity and inclusion are encouraged through their supply chain?

The Board understands this as a multi-faceted key risk involving front middle and back office teams. It is front and centre of mind of the board and colleaguaes, with tasks allocated to individuals to carry out.

The board receive reports from the senior management team. The board have required processes procedures and controls to be put in place, which have been audited and are regularly reviewed.

The Board see this as a compliance issue. We understand that the compliance team have in place appropriate reporting controls.

We deal with issue management as and when those come up

Something else

Regulatory compliance

47. Have you implemented personal data compliance assessments for your work place, products and services against UK GDPR and EU GDPR?

Yes

No

48. Have you implemented health and safety assessments for your work place, producfts and services?

Yes

No

49. Have you implemented security measures for your digital and information communication products and services?

The Board understands this as a multi-faceted key risk involving front middle and back office teams. It is front and centre of mind of the board and colleaguaes, with tasks allocated to individuals to carry out.

The board receive reports from the senior management team. The board have required processes procedures and controls to be put in place, which have been audited and are regularly reviewed.

The Board sees this as a compliance issue. We understand that the compliance team have in place appropriate reporting controls.

We deal with issue management as and when those come up

Something else

50. Has your management team completed an assessment of all the regulatory standards to which your business needs to conform?

The Board understands this as a multi-faceted key risk involving front middle and back office teams. It is front and centre of mind of the board and colleaguaes, with tasks allocated to individuals to carry out.

The board receive reports from the senior management team. The board have required processes procedures and controls to be put in place, which have been audited and are regularly reviewed.

The Board sees this as a compliance issue. We understand that the compliance team have in place appropriate reporting controls.

We deal with issue management as and when those come up

Something else

51. Has your management team started or completed the authorisation process with all identified regulators of your business?

The Board understands this as a multi-faceted key risk involving front middle and back office teams. It is front and centre of mind of the board and colleaguaes, with tasks allocated to individuals to carry out.

The board receive reports from the senior management team. The board have required processes procedures and controls to be put in place, which have been audited and are regularly reviewed.

The Board sees this as a compliance issue. We understand that the compliance team have in place appropriate reporting controls.

We deal with issue management as and when those come up

Something else

52. For your prospect clients authorised by the FCA and PRA, have you carried out an impact assessment for your products and services, of how these complement, impact and give effect to their regulatory obligations?

The Board understands this as a multi-faceted key risk involving front middle and back office teams. It is front and centre of mind of the board and colleaguaes, with tasks allocated to individuals to carry out.

The board receive reports from the senior management team. The board have required processes procedures and controls to be put in place, which have been audited and are regularly reviewed.

The Board sees this as a compliance issue. We understand that the compliance team have in place appropriate reporting controls.

We deal with issue management as and when those come up

Something else