Our exclusive SMCR Policy Template Toolkit will ensure that you comply with FCA’s Senior Management & Certification Regime. Suitable for all solo-regulated business types, this comprehensive toolkit aids compliance with the handbook rules for SUP10, COCON, SYSC 24-27 & FIT. Providing over 30+ customisable policies, tools, templates and assessments covering the senior managers regime; the certification regime; and the conduct rules.
Templates to help you complete FIT assessments, senior manager due diligence checks, skills gaps analysis tools and training guidance for the SMCR and COCON Rule 6.
WHAT’S INCLUDED
- 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 Template
- SMCR Conduct Rules Training Guidance (includes Consumer Duty Rule 6)
- Statement of Responsibilities Template
- Training & Development Policy
- Training Evaluation Template
- Training Log Template
- Whistleblowing Policy
- Induction Policy & Checklist
- Recruitment & Selection Policy
- Job Description Template
- Sample Interview Questions
- Skills Gap Analysis Procedures (new)
- Skills Gap Analysis Excel Tool (new)
- Conduct Rules Breach Form
- New Employee Questionnaire (new)
- Recruitment Checklist Template (new)
Key Details
- Includes templates for completing a FIT assessment, SMF Handovers and guidance for conduct rules training.
- Comprehensive SMCR toolkit with 25+ policies and templates to comply with the Senior Management & Certification Regime.
- Suitable for Core, Enhanced and Limited Scope firms with customisable content and guidance for each type.
- Use the finalised templates to evidence your compliance to the FCA with easy to integrate, user-friendly content and formats.
SMCR Toolkit Sample Pages
The SMCR Policy Template Toolkit contains hundreds of pages across 30+ documents. Click the images to see some sample pages.
*NOTE: These are random sample pages from the entire toolkit so the content may not follow on.
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