Entity Dashboard

The Entity Dashboard provides Administrators with a graphical overview of an Entity's SMCR compliance status.

A dropdown menu is available for the Administrator to switch between status overviews of SMR, Conduct Rules (CR) for a particular entity.

Information displayed on the Entity Dashboard highlights the number of Individuals allocated to a Senior Management Function (SMF), as well as the SMF and Responsibilities allocated. Any Errors or Warnings generated are also displayed to assist Administrators with determining if a particular action is needed.

Accessing the Entity Dashboard

The Entity Dashboard can be accessed directly from an Entity or the Global Dashboard.

Accessing from Global Dashboard

To access the Entity Dashboard from the Global Dashboard:

Select the Entities icon (within the required section) on the Global Dashboard.

A list of all entities within that Regime display.

Select the desired Entity to open the Entity Dashboard.

Accessing from Entity Search

To access the Entity Dashboard directly from a Company:

Navigate to and select the All Searches icon in the Global Banner.
Select the Companies Search tab to search for and select an entity.

Open the Company Record and select the SMCR icon.

The Entity Dashboard opens to display the current regime-related detail for that specific company.

A Filing selection dropdown menu enables Administrators to switch between entity specific views of SMR, CR or Conduct Rules detail.

Details displayed for the Entity include:

Individuals - Number of Individuals in the Entity and their status (displayed as a progress bar).
Functions - Number of Functions mapped (displayed as a progress bar).
Responsibilities - Number of Responsibilities mapped (displayed as a progress bar).
Errors and Warnings - Any errors or warnings requiring attention.

As with the Global Dashboard, selecting the relevant icon on the Entity Dashboard will drill down into the selected category to reveal more detailed information.

Individuals View

The Individuals chart indicates the total number of Individuals that are mapped to the entity. As Individuals are Onboarded, their status is updated in the graphical chart.

Information included for the individuals:

QuickRef - (unique Diligent Entities identifier assigned to that entity)
Name - Name of the Individual

If the Individual is now Historical in Diligent Entities, a notation is made indicating that action is required.

Onboarding Status - Current status of Individual within the Onboarding process
Onboarding On - Date Onboarding completed (if applicable)
Functions - Number of Functions allocated to the individual.
Responsibilities - Number of Responsibilities allocated to the individual.

If an Individual was previously mapped and is now a historic record in Diligent Entities, this is displayed as an error so the Administrator knows that it requires attention. For more information on errors and warnings, see Errors and Warnings View.

Functions View

Within an Entity, an Administrator can drill down to a listing of the Functions (Tier 1). The list includes a total of all regime related functions for that entity.

A graph indicates the Functions that are currently Held and Available. Functions that are showing a status of Proposed are in the Handover Process. Once they have completed, they will become a held function.

Information displayed against each Function is as follows:

Tag - Senior Manager Function label that corresponds to the related FCA defined function.
Name - Title of Function.
Holder - Name of the Individual assigned to the Function. if there is a Proposed Handover in process, the person individual in the process of accepting the Function will be shown.
Since - Date the Function was assigned.
Notes - Optional information relevant to the assignment.

Responsibilities View

For each Entity, the Administrator will be able to drill down to a listing of the Responsibilities (Tier 2) assigned to the Individuals within the entity.

Information displayed against each Responsibility is as follows:

Tag - Senior Manager Responsibility label that corresponds to the related FCA defined Prescribed Responsibility.
Name - Title of Responsibility.
Holder - Name of the Individual that is assigned to the Responsibility.
Since - Date the Responsibility was assigned.
Notes - Optional information relevant to the assignment.

The Responsibilities are grouped to include the Prescribed, Overall and any additional (Other) Responsibilities added.

Errors and Warnings View

An Administrator should be aware of any issues that may impact compliance and so need to be addressed. The Errors and Warnings view notifies the Administrator of an issue relating to one of the following:

An Entity that is not on a current filing.
An Individual is marked as historical, but is still mapped to current records in the system.

Resolving Entity Errors

Entities should be on a current filing. When they are not on the current filing, a warning displays to indicate that action is required (the entity should be moved to a current filing). To move an entity to a current filing, a Rollover can be used.

For more information on Rollover of a Filing, see Filing Records: Rollover.

Resolving Historic Individuals

If an Individual, with Functions and Responsibilities assigned to them, is designated as Historical, it is necessary to replace the Individual by reassigning those functions and responsibilities to an Individual who is designated as current.

For more information on mapping and replacing an Individual, Replace an SMF.