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OTC Approval Matrix Change Process

📑 5 slides 👁 9 views 📅 2/25/2026
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Introduction to OTC Change Process

Describes steps for requesting changes to the OTC approval matrix via the Change Request Form.

Introduction to OTC Change Process
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User Requirements & Scope

  • Required documents: OTC Approval Matrix, Change Request Form, Approvers Matrix Help Card, Global SoA.
  • Scope covers changes to approvers, limits, rights, or removal of approvers in the OTC matrix.
  • Process ensures compliance with Group SOA and local regulatory requirements.
User Requirements & Scope
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Standard Request Process

  • Requestor completes form, sends to Matrix Owner (MO) or Delegate Owner (DO) for review.
  • BOT checks compliance with 'Big Rules'; updates matrix or rejects invalid requests.
  • Completion notification sent to requestor and MO/DO upon successful update.
Standard Request Process
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Non-Standard Request Process

  • Requestor emails details of deviation to MO/DO; requires business merit justification.
  • Governance SME reviews; Group Controller approval needed for credit limit deviations.
  • Approvals must be attached to the Change Request Form for processing.
Non-Standard Request Process
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Approval Evidence & Summary

  • OTC Governance SME retains deviation approval evidence in a designated SharePoint folder.
  • Key Group SOA guidelines include 12-month approval validity and delegation rights up to 50%.
  • Version history tracks document changes and approvals by authorized personnel.
Approval Evidence & Summary
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