Individual Accountability Regimes Hold People Responsible. Are You Ready to Prove It?

Demonstrating individual accountability starts with having a structured governance framework — one that maps responsibilities to named individuals, captures how those responsibilities change over time, and retains the evidence.

• Define and maintain Statements of Responsibilities and Management Responsibility Maps across your senior population
• Record role assignments, delegation mandates, and temporary cover arrangements
• Ensure governance structures are aligned to SMCR, SEAR/IAF, FAR, MAS, MIC/MAI, and CRD VI
• Give regulators a clear, current picture of who is accountable for what — and why

One of the most common points of failure in accountability reviews isn’t the governance structure — it’s the inability to produce evidence quickly and confidently. Attestations, handovers, certifications, and conduct records need to be centralized, current, and indexed against the right individuals.

• Maintain a time-stamped, auditable record of every accountability document
• Store evidence against individuals and roles — not lost in shared folders
• Respond to regulatory inquiries with confidence, not manual scrambling

Ongoing oversight of senior managers and certified persons is one of the most operationally demanding aspects of any individual accountability regime. Assessments go stale, certifications expire, and gaps in oversight can become regulatory findings.

• Manage fitness and propriety assessments across senior managers and certified persons
• Automate certification workflows and surface overdue reviews before they become a problem
• Maintain continuous oversight across the Certification Regime and equivalent obligations