Report High issues to the chief executive in writing within 5 business days

Issues Management policy, §4, §7.2

A High issue is reported to the Chief Executive Officer in writing within 5 business days, with an investigation summary and a proposed remediation plan. The Chief Executive Officer is updated weekly until remediation is under way, the issue is summarized in the quarterly compliance report, and high issues are reported to the board in the annual compliance report.

Event-driven

Each High issue: written report within 5 business days, weekly updates until remediation is under way

Write the escalation with the investigation summary and proposed plan, send it within 5 business days, and send weekly status updates until the fix is in motion.

• High issue escalation

  Written report with investigation summary and proposed plan, dated

• Weekly status updates

  Dated updates until remediation is under way

Compliance Officer

Leela can draft the written escalation and each weekly update from the log for the Compliance Officer to send.

Tell Leela about your company to see whether this applies.