Under SUP 15 Annex 7R of the SM&CR, firms are required to make an annual submission (usually by October 31st) of any disciplinary action taken against those subject to either the Conduct Rules or the Certification Regime. (Breaches by Senior Managers are covered elsewhere).
ordinarily collating this report is time consuming, so we've created a report that takes just a couple of clicks to create, and outputs in the FCA's preferred format, for you then to submit to the FCA once you're happy with what it contains. To generate your report you would:
Log into Corterum as an administrator.
Navigate to REPORTING in the top menu bar.
Then Select FORM H from the menu on the left hand side of the screen.
You will then see a list of business entities within Corterum.
Click on the entity you want to create the report for.
Then on the right hand side of the screen you need to:
Select the period you want the report to cover, using the date pickers under From Date and To Date respectively.
Select (using the dropdown list under FCA/PRA contact for this report) the person who will be the designed point of contact for the report.
Then click GENERATE PREVIEW.
A new pop-up window will appear, and after a few seconds, you'll see the report displayed in that pop-up.
From here you can scroll through the entire report, to see if you're happy with its contents.
If you're happy, you can choose click the button to SAVE REPORTS TO DOCUMENTS, which will save this report in Corterum, and link it to the business entity for whom you have run the report.
Alternatively, you can also click DOWNLOAD REPORT to save it to your computer.
A zipped file will be downloaded to your computer containing the report in Excel and OpenOffice formats.
So, if you would like to both save the file to documents and download a copy, you would need to save to documents first, then download it.