Board reporting for regulated firms in the United Kingdom.

The work

The pack is drawn from documents the firm already holds: policies, the system inventory, committee minutes, statements of responsibilities, and vendor contracts. It records where evidence of oversight is missing or incomplete, the senior manager accountable for each gap, and what the committee should expect to see over the next 30, 60, or 90 days. The committee walks through the pack in person, for 45 to 60 minutes.

1. 01

   Executive summary

   The findings the committee is asked to take, and the evidence that supports them.

2. 02

   Context and scope

   The firm, the systems in view, and the period the pack covers.

3. 03

   Inventory, as evidenced

   The systems the documents show, including systems embedded in vendor software.

4. 04

   Governance and oversight

   The senior managers, and what each of them holds today.

5. 05

   Evidence state

   What is present, partial, or missing.

6. 06

   Gaps and ownership

   Each gap, the accountable senior manager, the severity, and a window of 30, 60, or 90 days.

7. 07

   Risk, controls and automated decisions

   Where a decision is automated, and the human review the documents show.

8. 08

   Disclosure and reporting

   What the committee is told, as the documents record it.

9. 09

   Policy outline

   A skeleton the board can approve.

10. 10

    Evidence checklist

    The documents a demonstration of readiness still needs.

11. 11

    Next steps and sign-off

    The sequence, the owners, and the date of the next report.

12. 12

    Board walkthrough

    45 to 60 minutes, held in person.

Clients

Govaitum already works with regulated firms in the United Kingdom. For each firm, the readers are the board and the senior managers, and the material is the evidence of oversight the firm already holds.

Firms

Regulated in the United Kingdom.

Readers

Boards and senior managers.

Material

Evidence of oversight the firm already holds.