SM&CR Compliance | FCA Documents | SMCR Toolkit

SMCR implementation does not have to be complex or expensive. We have been helping regulated firms meet their compliance obligations for 6+ years and know that whenever a new regulation or regime is published, it is soon followed by hundreds of organisations trying to ‘cash-in’ on a geniune need for information and resources.  Know Your […]

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 […]

FCA Compliance Manual

Know Your Compliance Limited offer the most comprehensive and compliant FCA Compliance Manual on the market and have already helped thousands of regulated firms to gain FCA authorisation and maintain their ongoing compliance. We are experts in regulatory policy development and have created a large portfolio of policies, procedures, templates, test papers, training packages and more […]

How to Write a Certificate for Certification Functions

Certification Functions are those that cover specific functions that are not not specified as Senior Management Functions, but that can still have a significant impact on customers, the firm and/or market integrity. The FCA does not approve those individuals performing certification functions in the same way that they do Senior Managers. Instead, the firm itself […]

SMCR Compliance | Senior Managers Regime

The FCA are extending the Senior Managers and Certification Regime (SM&CR) to include solo-regulated firms from 9th December 2019. This extension aims to reduce harm to consumers and strengthen market integrity. There are 3 categories under the SM&CR: – Limited Scope: these firms will be exempt from some baseline requirements and will typically have fewer […]