---
title: Distribution control register
slug: distribution-controls/distribution-control-register
icon: {"lucideIcon":"ShieldCheck"}
docTags: 
createdAt: 2026-08-17T11:14:25.148Z
---

## Register

Key controls operating in distribution processes. Frequencies and owners are reviewed quarterly at the distribution committee.

## Control lifecycle

```mermaid
flowchart TD
A[Control identified] --> B[Control designed]
B --> C[Assigned owner and evidence]
C --> D[Monthly operation and testing]
D --> E[Self-assessment completed]
E --> F{Any failures?}
F -- Yes --> G[Remediation tracking]
F -- No --> H[Committee reporting]
G --> H
```

## Control categories

::::Tabs
:::Tab{title="Preventive controls"}
Controls designed to stop issues before they occur.

Examples include approval segregation, validation checks and system restrictions.
:::

:::Tab{title="Detective controls"}
Controls designed to identify issues after activity has occurred.

Examples include reconciliations, exception monitoring and queue reviews.
:::

:::Tab{title="Corrective controls"}
Controls or actions implemented to remediate identified failures and reduce recurrence risk.
:::
::::

## Control register

| ID        | Control                                           | Process                  | Type       | Frequency       | Owner                    | Evidence                                    |
| --------- | ------------------------------------------------- | ------------------------ | ---------- | --------------- | ------------------------ | ------------------------------------------- |
| CTRL-D-03 | Four-eyes review of fit-and-proper assessment     | Intermediary onboarding  | Preventive | Per application | Distribution Ops Manager | Second reviewer sign-off on review template |
| CTRL-D-04 | FSCA licence validation before activation         | Intermediary onboarding  | Preventive | Per application | Distribution Ops Manager | Dated register screenshot                   |
| CTRL-D-07 | Segregation: reviewer cannot activate record      | Intermediary onboarding  | Preventive | Per application | Distribution Ops Manager | CRM audit trail of distinct users           |
| CTRL-D-09 | Commission structure restricted to approved codes | CRM administration       | Preventive | Continuous      | Channel Manager          | CRM validation rule + exception log         |
| CTRL-D-11 | Call-back verification for banking detail changes | Agreement administration | Preventive | Per change      | Channel Manager          | Call log reference on amendment record      |
| CTRL-D-14 | Dormant intermediary review                       | Panel management         | Detective  | Semi-annual     | Channel Manager          | Dormancy report with decisions              |
| CTRL-D-16 | Referred-quote queue cleared within SLA           | Quote and bind           | Detective  | Daily           | Distribution Ops Manager | Queue-age report                            |

## Evidence standard

:::hint{type="info"}
**🧾 Evidence quality standard**

Control evidence should be reviewable by an independent party without requiring additional explanation from the owner.
:::

## Governance expectations

- Every control must have a named owner and defined evidence requirement.
- Changes to control ownership require approval at the operational risk forum.
- Retired controls remain visible in the register for audit traceability.
- Evidence retention periods align to regulatory and audit obligations.

## Change control

Additions and retirements of controls go through the operational risk forum — see the **Risks and Controls** space. The register version history is the audit trail; do not delete rows, mark them retired with a date.