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03
🏦 Financial Services & Banking
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Every Breach. Logged, Investigated, Evidenced.

The Conduct Rules Breach Register creates a structured, immutable record of every Conduct Rules breach event — from identification through investigation, to outcome and FCA notification. No breach can be retrospectively altered. The complete investigation trail is retrievable in under 30 seconds.

The Problem This Solves
Firms manage conduct breach records in email threads and informal notes. When the FCA asks for the investigation file and notification history for a specific breach event, the firm cannot produce a structured, timestamped record.
Regulatory Basis
COCON 2.1 · FCA SUP 15.11 · FCA DEPP 6
Firms must have procedures for identifying, investigating, and reporting Conduct Rules breaches. FCA must be notified of breaches by Certified Persons within 7 business days of the end of any reporting period.
🏦 Financial Services & Banking
MS 03
Conduct Rules Breach Register
£1,447
ONE-TIME · FULL CODE OWNERSHIP · NO LICENCE FEE
Production-ready PostgreSQL schema
n8n automation workflow (JSON export)
HTML / JavaScript frontend
Immutable audit trail built in
Build guide — step-by-step setup
Sub-30-second evidence retrieval
COCON 2.1 aligned
Delivered and live within 14 days or money back

Six Production-Ready Deliverables

Every component is built, tested, and transferred to you on day one of deployment. No dependencies. No ongoing licence fees. Full code ownership from the moment it goes live.

🗄️
breach_register table
Core table: breach_id, identified_by, individual_implicated, conduct_rule_reference, identified_at, description, severity (minor/moderate/serious), investigation_status.
🔍
investigation_records table
Investigation log: investigator_id, breach_id, step_description, evidence_collected, step_completed_at. Append-only. Full investigation trail immutable.
📡
FCA Notification Tracker
notification_records table tracks when the FCA was notified, the submission reference, the notification method, and confirmation receipt. Deadline calculation based on reporting period end.
Deadline Alert System
Trigger fires 48 hours before an FCA notification deadline. Escalation email to MLRO and Compliance Officer. Overdue notifications flagged on the dashboard with breach count.
📊
vw_breach_dashboard
Live view: open investigations, days active, assigned investigator, FCA notification status, deadline traffic light, and open notification obligations count.
🔄
Investigation Workflow
n8n workflow routes breach report to the assigned investigator, tracks step completion, prompts FCA notification, and archives the completed investigation pack.

Built to Run. Not to Demo.

Every UNUS London mini solution is a production system — not a prototype. The schema runs on PostgreSQL 17.4 with full referential integrity, Row-Level Security, and an immutable audit trail from day one. The n8n workflow handles every user interaction end-to-end.

The evidence view below is representative of the live data structure you will have in your system. Every record shown reflects the actual column names, data types, and status logic in the deployed schema.

DatabasePostgreSQL 17.4 (Supabase)
Tables3 (breach_register, investigation_records, notification_records)
Views1 (breach_dashboard)
Deadline Alert48-hour pre-notification alert
StandardCOCON 2.1 · FCA SUP 15.11
Code Ownership100% — transferred Day 1
finance-breach-register — live data view
BR-001 J. Okafor COCON 2.1.1 Serious ✓ FCA Notified 04 Feb
BR-002 A. Clarke COCON 2.1.3 Moderate 🟡 Investigation Day 3
BR-003 M. Williams COCON 2.2.1 Minor 🔴 FCA Deadline Tomorrow
BR-004 T. Mensah COCON 2.1.1 Serious 🔄 Investigation Open

Get the Conduct Rules Breach Register
live in your firm.

A 30-minute discovery call is enough to scope this system for your firm, walk through the schema live, and confirm the delivery timeline. No obligation. A genuine technical conversation.