Included Module: People Compliance

Every Person. Every
Obligation. Covered.

SM&CR, APER, IDD and beyond. Complete oversight of your people compliance — from Senior Manager statements of responsibility to certification assessments, CPD tracking to fit and proper declarations.

Trusted by 250+ UK-regulated firms

SM&CR

Ready

IDD

Compliant

100%

Assessed

SMF Holders Certification Regime APER Approved Persons IDD Staff Conduct Rules CPD Tracking

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THE CHALLENGE

People Compliance Is Overwhelming

Managing staff obligations across SM&CR, APER, IDD, and the Certification Regime without a dedicated system creates compliance blind spots.

No Staff Classification

Tracking which regime applies to each individual — SMF, Certified, APER, IDD — across spreadsheets is an accident waiting to happen.

Missed Certifications

Annual certification assessments slip through the cracks when there's no automated reminder or workflow to manage the process.

F&P Gaps

Fit and proper declarations are completed inconsistently, with no standard template for the six FCA character assessment criteria.

CPD Out of Control

Training records scattered across emails, LMS platforms, and folders make it impossible to prove IDD or general CPD compliance to the FCA.

SoR Headaches

Statements of responsibility for Senior Managers are created in Word, stored inconsistently, and rarely updated when responsibilities change.

No Onboarding Trail

New starter due diligence — reference checks, criminal records, qualifications — is managed ad hoc with no centralised audit trail.

PEOPLE COMPLIANCE MODULE

Complete People Oversight

SM&CR, APER, IDD — every regime, every person type, one platform. Classify staff by regime, track certifications, manage F&P declarations, and generate audit-ready evidence automatically.

SM&CR

Full People Management

Classify every individual by regime — SMF, Certified, APER, IDD — with structured profiles, automated workflows, and complete audit trails.

SMF Holders & Prescribed Responsibilities
Certification Regime Annual Assessments
APER Approved Persons Tracking
IDD Staff & CPD Compliance

People Compliance — Staff Overview

SM&CR Ready All regimes covered

24 Active Staff members

Regime Types

SMF • Cert • APER • IDD • NED • Conduct

100%

Assessed

Complete audit trail for every person

CHARACTER ASSESSMENT

Fit & Proper Declarations

Structured character declarations covering honesty, integrity, reputation, competence, capability, and financial soundness.

FCA-aligned criteria
Annual reviews with e-signatures
Event-driven reassessments

Fit & Proper — Declaration

SM&CR CORE

Statements of Responsibility

Map prescribed responsibilities and inherent functions to Senior Managers with board-level sign-off and version control.

Prescribed responsibilities mapping
SMF function allocation
Board sign-off workflow

SM&CR — Statements of Responsibility

TRAINING & DEVELOPMENT

Track, Certify, Onboard

CPD recording, annual certification assessments, and structured staff onboarding — all in one place with automated reminders and audit trails.

CPD TRACKING

CPD Recording & Tracking

Log training hours, track IDD requirements, set deadline alerts, and generate compliance reports — all with evidence uploads.

Hour tracking with evidence uploads
IDD-specific CPD requirements
Automated deadline alerts
Qualification tracking

People Compliance — CPD Tracker

96% Compliant CPD completion rate

IDD Ready Structured requirements

Active Staff

Tracked across all regimes

96%

Compliant

Annual certification rate

CERTIFICATION REGIME

Annual Certification & Evidence

Automated annual assessments for all certified staff with evidence collection, approval workflows, and FCA-ready reporting.

Annual assessment scheduling
Evidence collection & uploads
Approval workflows

Certification — Annual Assessment

ONBOARDING

Staff Onboarding & Due Diligence

Structured onboarding checklists with regulatory history checks, reference verification, and qualification tracking.

Regulatory history checks
Reference verification
Onboarding checklists

People — Staff Onboarding

WHY REGTECHPRO

Consultants vs RegTechPRO

Replace expensive manual processes with structured, automated people compliance workflows.

The Old Way

Compliance Consultants

£70,000+/year

Manual spreadsheet tracking of all staff
Word-based statements of responsibility
No automated certification reminders
Paper-based F&P declarations
No centralised CPD evidence

RECOMMENDED

The RegTechPRO Way

RegTechPRO

From £200/month

Automated regime classification for every person
Digital SoRs with version control & sign-off
Automated annual certification workflows
Structured F&P with e-signatures
Full CPD tracking with evidence uploads

Ready to Simplify
People Compliance?

Join firms across the UK who trust RegTechPRO to manage their SM&CR, APER, and staff compliance obligations.

Start Your Free Trial Talk to Our Team

Trusted by 250+ UK-regulated firms • Plans from £200/month

Next-Gen FCA Compliance Platform

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Every Person. EveryObligation. Covered.