What is in the documents
Breaches Register Template: This document contains a template Breach Register.
Guide to Breaches Reporting: This document provides guidance on breach reporting, including an overview of the regulatory requirements and what constitutes a “breach”.
Who the documents are for
These documents are suitable for use as brief guidance for those undertaking compliance roles within your firm and who are responsible for dealing with the subject matter of the documents. You may also wish to circulate the documents to your compliance team/relevant persons to provide a useful overview on the topic.
How to use the documents.
Breaches Register Template: This template register can be used to record breaches that occur at your Firm and provides an example of the type of information that Firms should consider recording. The template should be adapted and completed as appropriate for your Firm.
Guide to Breaches Reporting: This Guide can be used to provide you with useful information on how to deal with breach reporting, including the responsibilities of compliance officers in relation to breach reporting and the types of breaches that must be reported.
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