Fit & proper assessment
Consistent, evidence-based fit and proper assessment
Ensure that only fit and proper individuals are involved in the management and control of regulated entities, through a structured and repeatable assessment process.
Capabilities
What the module delivers
Key person and controller register
Maintain directors, senior officers, controllers and beneficial owners against the regulated entity record.
Structured questionnaires
Configurable declarations and criteria capture the information each assessment type requires.
Evidence and document capture
Collect identity, qualification, experience and probity evidence with version control.
Screening and adverse findings
Record screening outcomes, adverse findings and mitigating information in a governed format.
Criteria-based evaluation
Assess competence, integrity, financial soundness and conflicts against defined criteria.
Accountable reviewer determination
Record the determination, conditions and rationale, attributable to the authorised reviewer.
Outcomes
Comparable assessments across entities and sectors
- One assessment standard applied consistently across applications and appointments.
- Reassessment triggered by appointment changes, adverse findings or periodic review.
- Full history of assessments per individual, across entities and over time.
- Sensitive personal data held under field-level permissions and retention rules.
- Determinations linked to the licence and entity records they affect.
Governed by design
Personal and probity data is protected by role and field-level access controls with full access logging. Where AI assists this module, it is advisory only — every insight shows its source data, rationale and confidence, and final regulatory decisions remain with authorised human officers.