Sample Report
Sample report
An example attestation binder — the deliverable your Compliance Officer receives at each cycle. The delta-analysis format separates what is new since the previous cycle from what is unchanged. Fictional data.
Fit-and-proper attestation binder
Periodic cycle — delta analysis vs. prior cycle
Cycle: April 2026
Prior cycle: October 2025
Generated: 02.04.2026
Classification: CONFIDENTIAL
SAMPLE — CONFIDENTIAL — FOR DEMONSTRATION ONLY
Executive Summary
47
Covered employees this cycle
4
New findings
1
Unchanged since prior cycle
2
High severity (new)
The April 2026 cycle surfaced 4 new findings concerning 3 people, absent from the previous cycle (October 2025). Two are HIGH severity and require immediate review by the Compliance Officer. One finding carries over from the previous cycle with no change. All findings draw on publicly available information only.
Sanctions — official lists
Direct database query — run on 02.04.2026 at 08:42 CET
SECO consolidated list
Switzerland
OFAC SDN list
United States
EU consolidated list
European Union
OpenSanctions PEP dataset: ~700k entries queried. No additional match beyond the SECO / OFAC result above.
Findings — delta analysis
Undisclosed directorship
Finding
The employee is recorded as a director of a Zurich-based consulting company (active since February 2026). The mandate does not appear in the employee's conflict-of-interest declaration and was absent from the previous verification cycle (October 2025).
Recommendation
Escalate to compliance for review against the firm's outside-activity policy and conflict-of-interest register. Request an updated declaration from the employee.
Sanctions-list addition
Finding
The employee's name and date of birth match an entry added to the SECO consolidated sanctions list on 12.03.2026. Cross-confirmed against the OFAC SDN list. Not present in the previous cycle (October 2025).
Recommendation
Escalate immediately to the Compliance Officer for determination. Freeze all business activity pending legal review. Notify the relevant authorities in line with statutory obligations.
Adverse press coverage — French-language media
Finding
The employee is named in an investigative piece on real-estate transactions in the canton of Geneva. The article alleges irregularities in a development project. The employee is not directly implicated. Published after the previous cycle (October 2025).
Recommendation
Monitor for follow-up coverage. Brief the legal team if the matter escalates or if authorities show interest.
Controversial public statement
Finding
The employee published a LinkedIn post naming and criticising a client's ESG practices. The post received significant engagement (240+ reactions) and was picked up by trade media. Absent from the previous cycle.
Recommendation
Review with compliance and communications. Assess whether the statement breaches client confidentiality obligations or the firm's code of conduct.
PEP proximity — spouse in public office
Finding
The employee's spouse holds a senior role in a Ticino cantonal department with remit over financial regulation. The link was already identified in the October 2025 cycle and is unchanged. No new development detected.
Recommendation
No new action required. The PEP / proximity record remains up to date. Re-assess if the scope of mandates changes.
Compliance Officer sign-off
Compliance Officer name
________________________
Review date
________________________
Signature
________________________
Premtrace AG · Switzerland
This document is confidential and intended for the named recipient only.
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