Funeral Plans SMCR Templates

FCA to Regulated Funeral Plan Providers From 29th July 2022, the FCA will take over regulation of the pre-paid funeral plan sector. Governance prior to that date has been provided by The Funeral Planning Authority (FPA), who have been regulating providers of prepaid funeral plans across the UK since 2002. The FCA’s main aims when […]

SMCR FIT Assessment Template

What is a Fitness & Propriety Test? The FCA make it mandatory for certain firms to assessing and verify the fitness and propriety of any employee who is (or will be) carryng out a Controlled Function; Senior Management Function; and/or a Certification Function. This requirement ensures that roles posing a significant impact or risk to […]

SMCR Management Responsibilities Map Template

What is a Responsibilities Map? There are numerous mandatory requirements in the FCA’s Senior Managers & Certification Regime (SMCR). Whilst the FCA provide a free template for completing the Statement of Responsibility (SoR), enhanced firms also need a Management Responsibilities Map to support the individual Statements of Responsibility (SoR). The Responsibilities Map template should consist […]

FCA Authorisation Templates & Compliance Manual

Leading Regulatory Compliance Manual We offer the UK’s leading FCA Compliance Manual that covers most of the areas noted in the FCA’s application guidelines and with over 4500 organisations using our compliance documents, high quality and professional formats are guaranteed. For those also looking to meet the strict GDPR/DPA18 requirements, we also provide a GDPR […]

SM&CR Compliance | FCA Documents | SMCR Toolkit

SMCR implementation does not have to be complex or expensive. Know Your Compliance Limited were the first company to develop FCA policies, procedures and manuals; offering our services and documents before the FCA took over regulation in this area.  Our SMCR Toolkit has been designed to meet the regimes solo-regulated firm obligations and covers the core, […]

SM&CR Templates

The FCA are now bringing in their Senior Managers and Certification Regime (SM&CR) for solo-regulated firms (those regulated by the FCA only), which will apply from 9th December 2019. This regime will replace those already regulated under the Approved Persons Regime and already applies to UK banks, building societies, credit unions and the largest investment […]