DC-Services UK Department Directory

Supervisory Quality Assurance Desk

Every record released by the firm passes through a two-stage supervisory signoff at this desk. Stage one verifies internal consistency and source coverage. Stage two, performed by a named senior reviewer outside the originating team, confirms that the record can be defended in audit or litigation conditions. A record is not issued until both stages are signed.

• ›Written intake brief signed by the client
• ›Conflicts screen and independence check
• ›Defined deliverable list and retention envelope

Governance and Corporate Secretariat

Holds the firm's statutory records under the Companies Act 2006, manages the conflicts register, and is the single point of contact for regulators, auditors and legal counsel acting for counterparties. The secretariat also publishes the firm's policies on independence, retention and the codified exclusions that define the boundary of the service.

• ›Source hashing at intake
• ›Role-based, time-bound access
• ›Two-stage review before release

Codified Exclusions

The firm publishes its exclusions so that counterparties can rely on the boundary in writing. Custody of assets is not offered. Investment, tax and legal advice are not offered. Introductions to brokers, exchanges or asset managers are not made. Anything outside the documentation and supervisory remit is declined at intake rather than redirected internally.

Engagement and Client Liaison

Coordinates the practical side of an engagement: secure channel setup, scheduling of supervisory reviews, delivery of sealed record packages and retention queries after closure. The unit does not participate in the substantive content of the record; its role is to keep the line between counterparty and operating desk traceable and on time.