SMCR Policy Template Toolkit

  • 20+ Templates for SMCR Compliance
  • Includes FIT Assessment & SMF Handovers
  • Conduct Rules Training Guidance
  • Developed by Experts
  • Instant Download After Payment

£145.00 (ex vat)

Our exclusive SMCR Policy Template Toolkit will ensure that you comply with FCA’s Senior Management & Certification Regime. Suitable for all regulated business types, this comprehensive toolkit aids compliance with the handbook rules for SUP10, COCON, SYSC 24-27 & FIT. Providing over 20 customisable policies, tools, templates and assessments covering the senior managers regime; the certification regime; and the conduct rules.

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.

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
  • 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

Key Details

  • Includes templates for completing a FIT assessment, SMF Handovers and guidance for conduct rules training.
  • Comprehensive SMCR toolkit with 20+ 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 Policy Template Toolkit

About the SMCR Policy Template Toolkit

The FCA state that the “SMCR aims to reduce harm to consumers and strengthen Know Your Compliance Templatesmarket integrity by making individuals more accountable for their conduct and competence”. Whether you are already authorised by the FCA, or are currently going through your application, we can help.

Our SMCR templates cover the mandatory requirements under the Senior Management & Certification Regime. Demonstrate your apportionment of significant responsibilities and record the roles and functions within your business.

  • Includes templates for completing a FIT assessment, SMF Handovers and guidance for conduct rules training.
  • Comprehensive SMCR toolkit with 20+ 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.

Affordability & Creditworthiness Policy Template IconDeveloped by Experts

We have been developing FCA policies and procedures for nearly 10 years and are experts in FCA compliance.

Affordability & Creditworthiness Policy Template IconCustomise & Comply

Accelerate your SMCR compliance with 20+ customisable, FCA ready templates, policies and assessments.

A Name You Can Trust

Market Leading ComplianceOur team have been developing regulatory templates for 20+ years. We are one of the UK’s leading compliance template providers, with our compliant, professional documents being trusted by thousands of businesses.

Cost Effective Compliance

Cost Effective ComplianceOur customers range from multi-national organisations and public bodies, through to sole traders. We keep our prices low so that our products are affordable for everyone. Quality you can trust at prices you can afford!

WHY CHOOSE US?

  • Our templates & toolkits are used by 6000+ organisations
  • Market leading documents & policies
  • Customisable, easy to use formats
  • Affordable and cost effective
  • Developed by experts
  • Compliant, professional content
  • Suitable for all business types
  • Support when you need it most

Documents Included in the SMCR Policy Template Toolkit

  • 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
  • Training & Development Policy
  • Training Evaluation Template
  • Training Log Template
  • Whistleblowing Policy
  • Induction Policy & Checklist
  • Recruitment & Selection Policy
  • Job Description Template
  • Sample Interview Questions

Frequently Asked Questions...

Can The Documents be Customised?

All templates have been developed using the latest version of Microsoft Office. Word and Excel are universally compatible with a large number of document editing software, including OpenOffice and GoogleDocs.

All templates can be corporate branded and are fully customisable. The documents also come with detailed guidance on how to use Microsoft Office to edit the templates and insert your own content where applicable.

What Format are the Documents in?

The templates are developed in Microsoft Office Word and are fully customisable and ready for corporate branding. They are compatible with most text editing software. Checklists and assessment templates are provided in an Excel format.

Are the Documents Suitable for my Business?

All of our templates have been developed using a variety of regulations, standards, laws and codes. We have used the main FCA Handbook to develop much of the manual content, alongside extensive FCA guidance and our own expertise. For any additional supporting templates included with the manual, we have used the relevant regulations and rules to ensure that all templates are compliance and up to date.

All of the mandatory SMCR templates have been included in the toolkit for you to customise and integrate into your business. We have not provided a training session for the conduct rules this is bespoke to each company. However, we have provided an extensive conduct rules training guidance document that enables you to develop and deliver your own training session for this mandatory requirement.

Are the Templates an 'Off the Shelf' Solution?

Every business is different and compliance documents need to reflect that. Whilst our templates and toolkits go a long way toward making you compliant, many of our documents do require some customisation to ensure that they are relevant to you. Our templates provide a strong foundation on which to build your compliance framework. Our extensive template content coupled with your customisations will ensure that you are compliant with the relevant legislation, codes of conduct, standards or regulations

It is important that each policy and procedure accurately reflects exactly what your business does and how it does it. The level of customisation required for each document will depend upon factors such as your size, scope and current compliance program. However, we are always on hand to answer any questions you may have and provide unlimited email support.

How Can I Access My Order?

All materials and templates are available to download immediately after purchase via the website. Once you have completed your payment online, you will be redirected to our order page where you can download your ordered document(s). We also send you an automated confirmation email which contains a copy of your download link.

If you have chosen to make payment by BACS, your order will be placved on hold until we have confirmed receipt of your payment. Once your payment has been verified, we will process your order and send you an automated confirmation email which contains your download link. Our Accounts Team will email you a copy of your VAT receipt after the order has been processed.

Please ensure that you add our email address to your contacts lists and that your email server accepts incoming download links.

Why Should I Buy From Know Your Compliance Limited

At Know Your Compliance Limited we are passionate about regulatory compliance! Our team has over 20 years experience and expertise in regulatory compliance and policy development. Serving a wide range of industries and business types, over 6000 organisations already use our templates and toolkits. We have delivered professional, compliant templates to hundreds of industries; including accountants, tax advisors, education and healthcare sectors, the NHS, Government departments, finance and credit, recruitment, charities, banks, estate agents and thousands of SME’s and sole traders.many more.

We offer a large library of templates for regulatory policies, procedures, checklists, toolkits, manuals and training packages. Utilising Microsoft Office for compatibility and easy customisation, we provide editing and usage guidance with all templates. When paying by credit/debit card, all documents are available to download instantly and come with the first annual update included in the price.

Do You Offer Refunds?

As our materials, packages and templates are downloaded digitally, they cannot be physically returned once purchased. For this reason we do not offer any refunds, however we do provide extensive information about each product on the relevant product page so that you know what you are getting before you buy. Please refer to our Terms and Conditions for further information.

If you have any questions about our templates, toolkits or training materials before or after purchase, please contact us at info@knowyourcompliance.com and we will be only too happy to assist you.

SMCR Toolkit Sample Pages

The SMCR Policy Template Toolkit contains hundreds of pages across 20+ 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. 

Looking for other FCA templates?

Whether your are going through your FCA application or you are already authorised, we can help! We specialise in FCA policy templates and have over 6000 organisations using our business documents. The team at Know Your Compliance Limited have worked in the regulated industry for nearly 20 years. Some of the UK’s leading public and private sector organisations and bodies meet their compliance obligations with the help of our products. View All FCA Products.