SMCR Document Pack

Our SM&CR Document Pack contains policies, guidance and templates for solo-regulated firms to comply with the FCA’s Senior Management & Certification Regime (SM&CR), which is designed to reduce harm to consumers and strengthen market integrity. Download instantly after purchase. 

£145.00 (ex vat)

Our unique SMCR Document Pack helps firms to comply with the FCA’s new handbook rules for SUP10, COCON, SYSC24-27 & FIT. Solo-regulated firms were required to comply with the new Senior Management & Certification Regime from 9th December 2019 and this pack provides working content, policies and the FCA’s SoR form template for managing and complying with those requirements.Covering the fitness and proper assessment criteria, Senior Managment Functions (SMF), Prescribed Responsibilities, Significant Functions, Individual & Senior Management Conduct Rules and much more.

Owing to an extension by the Treasury and FCA due to the Covid-19 disruptions, firms now have until 31st March 2021 to ensure that all relevant staff are trained on the Conduct Rules and to submit information about Directory Persons to the FS Register. 

The pack includes: –

  • SMCR Policy Document 
  • SMF & PR Register Template
  • Firm Type Assessment Guide
  • Certification Functions Certificate Template
  • SMF Handover Policy Template
  • Conduct Rules Policy Template
  • Management Responsibilities Map Template
  • SMF/CR Due Diligence Questionnaire 
  • SMF/CR Checklist
  • Induction to SMF Role(s) Checklist
  • Fitness & Propriety Assessment
  • SMCR Conduct Rules Training Guidance
  • Statement of Responsibilities Template (included at no extra cost as already available from the FCA)
  • Training & Development Policy
  • Training Evaluation Template
  • Training Log Template
  • Whistleblowing Policy

Documents are available as an instant download as soon as payment has been made. The content comes in one document set for ease of use.

Documents come in a Microsoft Office format and are fully customisable. You can edit all text, add content, remove sections and change the layout to suit your needs.

Our SM&CR Document Set comes with guidance for editing the content, adding/removing sections and making simple customisations and corporate branding changes.

Free updates for the first year, providing revisions or new documents in an easy to add format and keeping your documents up-to-date and compliant.

Developed by a team with over 18 years regulatory compliance experience and FCA expertise.

Suitable for all FCA authorised business types and covering the core, enhanced and limited SMCR tiers.