Fit and Proper Testing

 

Compliance Star allows you to select from a package of modules which can be tailored to your needs and requirements

 

 

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Background

Firms must ensure adequate on going due diligence is undertaken and recorded for all individuals under the Senior Managers and Certification Regime.

Compliance Star

  • Fit and Proper questionnaires are generated automatically and sent on a predetermined date.
  • Automated tasks are generated between the firm and the individual to ensure all required documentation is provided.
  • Notifications for both the firm and the individual for completion and checking through to sign off.
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Benefits

  • Identification of the firms activity and solvency.
  • Firms can evidence ongoing oversight of the solvency of its individual under the Senior Managers & Certification Regime.
  • Full transparency through centralised reporting that can be analysed and reported.
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