SMCR Template Policy Pack

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

£145.00 (ex vat)

Our unique SMCR Template Policy Pack helps firms to comply with the FCA’s new handbook rules for SUP10, COCON, SYSC24-27 & FIT. The rules of the Senior Management & Certification Regime were enforced from 9th December 2019, with firms having a further 12 months to implement the requirements (with some parts later extended to 31st march 2021 owing to the Covid-19 disruptions).

Whether you are already authorised by the FCA or are due to come under them for regulation, our SMCR templates will help you to comply with the many mandatory requirements under this regime. From July 2022, firms providing funeral plans, including entering as provider into a funeral plan contract; carrying out a funeral plan contract as provider and/or any activities connected with them, will be required to comply with the SMCR alongside the FPCOB sourcebook rules.

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 Template
  • 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
  • Induction Policy & Checklist (new)
  • Recruitment & Selection Policy (new)
  • Job Description Template (new)
  • Sample Interview Questions (new)

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 19 years regulatory compliance experience and FCA expertise.

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