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Training & attestations5 min read

How policy attestations help prove staff understanding

Publishing a policy isn't the same as embedding it. Gaps between documented policy and how staff actually work are a recurring SRA concern. Policy attestations help close that gap — and prove it's closed.

Here's what good attestation evidence looks like, and why it matters.

From 'published' to 'acknowledged'

An attestation records that a named person acknowledged a specific policy version on a specific date. That moves you from 'the policy exists' to 'this person confirmed they received it' — attributable and timestamped.

From 'acknowledged' to 'understood'

A click proves receipt, not understanding. Pairing acknowledgement with a short comprehension test — for higher-risk topics especially — evidences that staff understood the policy, which is far stronger.

Visibility of who's outstanding

Attestations are only useful if complete. A live view of who has acknowledged and who hasn't, with automated reminders, means you can show full coverage — or address gaps quickly.

Tied to the right version

Each attestation should link to the exact policy version acknowledged, so you can prove what each person actually read — not just that they signed something at some point.

Reglo helps firms keep this evidence organised and audit-ready — humans approve every change. AI drafts and organises; your compliance team decides.

This guide is general information for compliance teams, not legal or regulatory advice. Always refer to the SRA's current guidance and take your own professional advice where needed.

Common questions

Who uses this evidence?

COLPs, MLROs, and compliance leads — to show, internally and to the SRA, that policies have been read and understood across the firm.

See how Reglo keeps this evidence ready

Book a demo and we'll show you how Reglo keeps your policies, training, attestations, and audit-ready evidence aligned for SRA reviews — with humans approving every change.

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