DC-Services UK Industry Experience

Supervisory QA over documentation produced elsewhere

A supervisory QA matter is a second-line review of documentation that another party has produced, signed off under the firm's two-stage review. The evidence required is the third-party documentation, its working papers and the source inventory it was drawn from. The internal definition of the two-stage review is owned by the supervisory QA page.

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

Counterparty support during institutional handover

A counterparty support matter assists during the institutional handover of a position, an account or an operational record — for example into an administrator, a successor counterparty or an internal audit team. The work is procedural and consists of named contacts, sealed extracts and logged answers. Practitioner availability for these matters comes from the four-track model documented on the department directory.

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

Matter types declined at intake

Matter types outside the four permitted activities are declined at intake with a recorded reason. A counterparty asking for advisory output, trade execution, custody of digital assets, or fund administration will receive a written decline rather than a smaller variant. The published list of declined activities sits on the clarity check page so a counterparty can verify before sending the request.

Bringing a matter to the firm

A new matter enters through the secretariat. The first response is a conflicts check and, if cleared, a draft scope letter that names the data lead and supervisory reviewer. The mechanics of intake — the order of checks, the form of the scope letter, the conflicts register — are owned by the process and inside-the-office pages.