Module D · Senior Management Oversight
Oversight you can evidence.Board-ready, on demand.
A centralised management dashboard for compliance officers, CTOs, risk managers and senior management: AI activity, policy exceptions, risks and incidents, assigned accountability, and the evidence behind each.
The right information
AI activity reporting, policy exceptions, material risks, incidents and open remediation — computed from the records, not compiled by hand.
Assigned accountability
AI areas mapped to named senior managers, with reviews, challenges and decisions on record.
Audit evidence
Management reports and an AI Governance Evidence Pack for the board, auditors and compliance reviews, with integrity checks.
See it work
Try it.
An interactive demonstration with a fictional firm’s data.
AI use cases
7
3 live · 1 suspended
High-risk use cases
3
Each with a named owner
AI agents
4
1 suspended
Pending approvals
2
Use case and agent action
Material incidents
1
Under investigation
Outstanding remediation
5
1 overdue
Mandatory AI training
91%
Completed
Third-party AI
3
2 high criticality
Organisation-wide AI risk exposure
- Critical0
- High3
- Medium2
- Low2
Accountability
- AI governance framework — Amara Okafor (SMF16)
- AI agents in operations — Richard Hale (SMF1)
- Third-party AI — Leila Haddad, Chief Risk Officer
Compiled from the records — nothing typed in. Print to PDF for the board, or download the data.
- 1AI inventory: use cases
- 2AI inventory: agents
- 3High-risk use cases and accountable owners
- 4Pending approvals
- 5Material incidents
- 6Outstanding remediation and exceptions
- 7Training and attestations
- 8Third-party AI dependencies
- 9Audit evidence and record integrity
Capabilities
What it does today — and what is coming.
In the product today
- Centralised management dashboard: material risks, serious incidents, open actions, training and attestation completion, approval timeliness, controls tested
- AI activity reporting by department, model and outcome
- Policy exceptions and incident visibility, with remediation owners
- Assigned accountability: an accountability map of AI areas to senior managers (SM&CR)
- Senior management reviews with recorded challenge, responses, decisions and actions
- Management reporting: quarterly reports stored with a hash, and an AI Governance Evidence Pack — print to PDF or JSON
- Audit evidence export (JSON or CSV) with a record-integrity check against the audit chain
Planned
- Signed, server-generated PDF packs
- Automatic write of evidence exports to WORM storage
- Scheduled board packs
FCA AI governance expectations
How it relates to the FCA’s October 2026 publication.
The FCA’s AI in financial services: good practice and areas for improvement (19 October 2026) shares examples from industry. In its own words: “They do not create new requirements.” There is no standalone FCA AI rulebook; existing rules apply.
Below, each example it describes, and how this module supports a firm’s own approach.
Informed, documented and auditable SMF oversight, with records of decisions including rationale, challenge and escalation
Dutira: Reviews record attendees, challenges, responses and decisions; the evidence pack compiles them.
Clear SMF ownership for AI risks, mapped across senior management functions
Dutira: The accountability map links AI areas to named senior managers.
Board ownership of AI strategy, with risk appetite and regular management information
Dutira: The dashboard and quarterly reports give regular, computed MI.
Targeted training for senior managers and ongoing capability reviews of oversight functions
Dutira: Role-based AI courses with knowledge checks and completion records feed the dashboard.
Clear records of AI use cases, models and providers; contingency and exit planning for third-party AI
Dutira: Third-party AI register with criticality, dependencies and exit plans, included in the pack.
The rules behind it
Existing rules continue to apply when firms use AI. Which apply depends on each firm’s permissions and business.
- SYSC 24 Allocation of responsibilities (SM&CR) Rule
- FCA: Senior Managers and Certification Regime Guidance
- SYSC 9.1 Record-keeping Rule
- SYSC 15A Operational resilience Rule · scope varies
- Rule Binding on the firms it applies to
- Guidance How the FCA expects rules to be met
- Good practice Illustrative examples; no new requirements
Your responsibility. Accountability stays with your senior managers. Dutira gives them information and a record of the steps they took. Dutira is not approved or endorsed by the FCA and does not guarantee regulatory compliance.
One platform, launched in phases
- Phase 1 · available nowGoverned AI WorkspaceEnable your people to use approved AI tools within company-defined safeguards.Explore
- Phase 1 · available nowAI Policy & AttestationTurn written AI requirements into practical safeguards, workflows and staff acknowledgements.Explore
- Phase 1 · available nowAI Monitoring & ControlsUnderstand how AI is used and identify potential policy risks.Explore
- Phase 1 · available nowFCA AI Governance CheckerIdentify potential gaps in your AI governance framework against relevant FCA regulatory expectations — free.Explore
- Phase 3 · plannedAI Lifecycle GovernancePlanned: inventory, registration, risk classification, assessment, approval and review for every AI use case.Explore
- Phase 4 · plannedAI Agent GovernancePlanned: registration, identities, permissions, action authorisation, human approval and limits for autonomous AI agents.Explore
See it with your own policies.
A 30-minute walkthrough, tailored to your firm.