General
The “Regulatory References” visualisation within Corterum enables users to see, by year:
How many Regulatory References a firm has responded to WITHIN the 6-week deadline provided for in SYSC 22.5.17G.
How many Regulatory References a firm has responded to OUTSIDE OF the 6-week deadline provided for in SYSC 22.5.17G.
How many Regulatory Reference responses remain outstanding.
More specifically:
The red segment of each bar indicates those ex-employees in relation to which the firm DID NOT respond to a Regulatory Reference request within the 6-week deadline.
The green segment of each bar indicates those ex-employees in relation to which the firm DID respond to a Regulatory Reference request within the 6-week deadline.
A blue segment indicates the number of Regulatory Reference requests which are outstanding.
See whether you have complied with Regulatory Reference deadlines
If you hover your mouse over a segment of the bar, you will see the actual number of Regulatory Reference requests which are represented within that segment of the bar.
If you click on a segment, this causes a second visualisation to appear. This second visualisation will confirm whether the Regulatory Reference request(s) related to Senior Managers and/or Certification Staff.
Click on a segment to see more information about your Regulatory Reference compliance.
If you hover your mouse above part of the donut, you will see the name of the person to whom the Regulatory Reference related, as well as the firm from which the Regulatory Reference request was received.
Where does the information come from?
It is important to know the exact data points the Corterum system relies upon in order to create its visualisations. Only if this is completed properly and completely will users benefit fully from the visualisation. The table below details the data points used to create and populate the Regulatory References visualisation.
Dataset | Field | Explanation |
Regulatory References Received | Date request received | This field is used as the START DATE for calculating whether a firm has complied with the 'six week' time limit for responding to a regulatory reference request. |
Regulatory References Received | Date of response | This field is used as the END DATE for calculating whether a firm has complied with the 'six week' time limit for responding to a regulatory reference request. |
Reference subject |
| Used in the visualisation to inform the user about the user with respect to whom a reference request has been made. |
Reference requested by |
| Used in the visualisation to inform the user about the identity of the firm making the regulatory reference request. |