Register every issue in the Issues Log at intake

Issues Management policy, §2, §3

Every issue, whatever its channel, is registered in the Issues Log on receipt with a unique identifier, a description, its source, the date identified, the area of the business affected, and its type. Findings from monitoring and testing, systemic complaints, regulatory inquiries, audit results, employee reports, and sponsor bank notices all enter the same log.

Event-driven

Each issue, on receipt through any intake channel

Open a log entry for each issue as it arrives, assign the identifier, record the intake fields, and link the source finding, complaint, or notice.

• Issues Log entry

  Identifier, description, source, date identified, area affected, type

• Source record

  The finding, complaint, audit report, or bank notice that raised the issue

Compliance Officer

Leela can draft the log entry from the finding or notice and hand it to the Compliance Officer to confirm.

Tell Leela about your company to see whether this applies.