THE COMPLIANCE REGISTER
PROUDLY PRESENTS
THE COMPLIANCE REGISTER PLATINUM AWARDS® 2017
for Exemplary Service to Compliance and Regulation
FOR THE 14TH YEAR RUNNING
HOW TO SUBMIT EFFECTIVE NOMINATIONS
Closing date for nominations is 23.59 hours on 11th November 2016.
On each respective nomination form, there will be a question as set out below:-
State below or attach a separate description why the firm (or team or individual) deserves your nomination:-
It is important that you answer the above as comprehensively and eloquently as possible. For example, you wish to nominate XYZ Limited for Category B1 – Best Governance, Risk and Compliance Award. First you should to read the description of this Award and make sure your nomination fits the description.
An example of a bad nomination will be: “I love XYZ Limited. They are brilliant and deserves an Award.” This nomination is too vague, for example, in what way is XYZ Limited brilliant?
A better nomination will be: “I nominate XYZ Limited for this Award because they have always operated to high professional standards and take compliance seriously. Senior management have always been diligent and plan comprehensively to ensure staff are properly trained and are aware of their compliance responsibilities. In addition, the firm has never been the subject of regulatory action by the FSA or FCA and has an excellent compliance track record.” This nomination is much more relevant and gives specific information.
Obviously, the bad nomination is unlikely to win the votes of the majority of ACE members.
So, our advice is THINK before you submit your nomination. Put yourself in the shoes of the ACE members. If you are one of them, would you vote for the bad nomination or the good nomination? Take your time to make sure you have set out a comprehensive case as to why the firm, team or individual you are nominating is deserving of (this is what your nomination should make clear) the Award.
About self-nomination: Remember these Awards are awarded based on merit and integrity. Although self-nomination is permitted (and for some categories unavoidable), on its own it will not carry much weight. There needs to be additional nominations from your peers and/or independent parties (e.g. clients who use your services or other third-party professionals who have knowledge of your professional standards) for your nomination to have a good chance of success.
Thank you and good luck with your nominations.
