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The Senior Managers and Certification Regime (SMCR) now applies to all FCA regulated firms with additional obligations under COCON for complying with the conduct rules. The three main elements of the regime are the senior managers regime; the certification regime; and the conduct rules. The FCA state that the “SMCR aims to reduce harm to consumers and strengthen market integrity by making individuals more accountable for their conduct and competence”.

Our market leading SMCR Policy Template Pack provides customisable, ready to use SMCR templates, guidance and policies for implementing the regime and complying with the FCA’s rules. Covering many of the mandatory areas, we provide templates for a FIT assessment, responsibilities map, SMF handover policy, conduct rules training guidance, SMF due diligence, skills gap analysis and much more.

All Document Templates

SMCR Template Policy Pack

£145.00 (ex vat)