Fit and Proper Assessment with Certificate Template

Regulators require clear, consistent Fit and Proper assessments

PRA and FCA rules mean your firm must assess Senior Managers and Certified staff as “Fit and Proper” at least once a year. These assessments must be fair, thorough, and well documented. If your assessment lacks consistency or detail, your firm and staff face unnecessary risk.

A straightforward approach for managers

The Fit and Proper Assessment with Certificate Template helps you carry out these checks easily—even if you do not have compliance expertise. The template follows all FCA and PRA requirements and creates a clear record for both regulatory inspections and employment law purposes. As a result, your firm makes each assessment fair and robust every time.

What you get

This digital download covers all the essentials:

• Structured sections for the three core elements of the Fit and Proper test

• Space to log who carries out each staff member’s assessment

• Simple drop-downs for a smooth, efficient review

• An auto-filled FCA Fit and Proper certificate based on your answers

• Guidance for new joiners, internal moves, and those already holding Certification Functions

• Best practice tips and advice for adapting the template to your firm’s own risk appetite

Next steps are clear

You can roll out the template as-is, or quickly tailor it to reflect your internal policies. Whether you are a line manager or HR lead, you ensure everyone receives a consistent, fair, and compliant assessment.

Ensure compliance without the fuss—download our Fit and Proper Assessment with Certificate Template today and safeguard your firm’s reputation and your team’s future.