"Knowledge is power"

Our members are currently benefiting from factual insights and benchmarking with peers, legislation and technology updates, and research and development into HR and Compliance approaches to regulation and technology that supports it.

Regulatory Sprint Benchmarking Reports

The FS HR & Compliance Network has launched a series of Regulatory Sprint Benchmarking Reports to help the financial services industry become more consistent with their approach to interpreting regulation.

The report is designed to provide benchmark data for regulation in a small number of key areas. The intent is to broaden and deepen the number of questions and value to the report over time. Each report is based on short surveys sent to the FS HR & Compliance Network Members. It anonymises and collates real data to provide members with informed insight in to how the financial services industry is tackling regulation.

To participate and receive the Regulatory Sprint Benchmarking Reports, you must become a Member. See further information on how to become a member below.

Sprint Surveys

Next Sprint Survey Questions

August 

2019

Topic:  Resourcing for SM&CR

1. Number of HR people working on SM&CR related tasks

2. Number of Compliance people working on SM&CR related tasks

3. Have you had to make changes to your HR system to meet SM&CR requirements?

4. Have you had to make changes to your Compliance system to meet SM&CR requirements?

5. Number of consultants and or legal advisors used to assist with implementation of SM&CR

   (individuals)

6. Number of new FTE hires to fulfil SM&CR requirements

   (at any level/role)

7. Thinking about the team responsible for SM&CR in BAU, how many are;

    Senior Managers/Director Level?

    Manager/Busines Partner Level?

    Administration Level?

 

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Past Sprint Survey Questions

July

2019

Topic : SM&CR General

1) How often Prescribed Responsibilities are updated

2) How often SoRs are updated

3) How often Management Responsibilities Maps are updated

4) Number of people appointed to manage SM&CR in BAU

5) Percentage of participants using a consultancy to implement SM&CR

6) Number of SMFS appointed

6a) Ratio of Senior Manager to employee

7) Number of Certified Persons appointed

To participate in sprint surveys and subscribe to the Regulatory Sprint Benchmarking Reports to ensure you're consistent with the industry, continue down the page for more information about becoming a Member.

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