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PRA and FCA require individuals within both the Senior Manager Regime and the Certification Regime to be assessed at least every 12 months as Fit and Proper. The regulators specify certain elements that make up the Fit and Proper test and expect the assessment to be clearly documented.


From an employment law perspective every individual should be treated fairly and there should be some consistency in the approach taken to the Fit and Proper assessment given the potential consequences of failing the assessment.


Our Fit and Proper Assessment template incorporates regulatory expectations and achieves a fairness to individuals in how they are assessed. It is designed for use by the assessor, which is usually the line manager who may not have the regulatory expertise to know what they must cover and how they should approach each element of the test.


Your digital download includes:

  • Coverage of the three core elements of the F&P assessment
  • Fields to capture essential information such as who is conducting the assessment
  • Pre-populated drop down fields for completing the assessment
  • A record of how the firm is comfortable that the individual will satisfy the Fit and Proper Test going forward.
  • Assessments for new joiners, internal movers and existing holders of Certification Functions
  • The FCA required Fit and Proper Certificate which auto-populates from the information provided in the assessment
  • Best practice for carrying out a F&P assessment
  • •Guidance on how to customise the template to reflect internal risk appetite and approach

Fit and Proper Assessment with Certificate Template

Excluding VAT
  • This product is in Microsoft Excel (*.xlsx)
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