SM&CR Compliance | FCA Documents | SMCR Toolkit

SMCR implementation does not have to be complex or expensive. We have been helping regulated firms meet their compliance obligations for 6+ years and know that whenever a new regulation or regime is published, it is soon followed by hundreds of organisations trying to ‘cash-in’ on a geniune need for information and resources. 

Know Your Compliance Limited were the first company to develop FCA policies, procedures and manuals; offering our services and documents before the FCA took over regulation. We were also one of the first providers of GDPR policies and toolkits; giving thousands of organisations, public bodies and providers with ready-to-use, affordable documents and templates for complying with the new data protection regulations.

Our SMCR Toolkit has been designed to meet the regimes solo-regulated firm obligations and covers the core, limited and enhanced areas of compliance. Fully customisable, but with working content to help assess fitness, verify due diligence and demonstrate compliance; our packs and policies will give you a strong foundation on which to build your Senior Managers Regime compliance program.

SMCR Toolkit
£145 (exc vat)
SM&CR Document?
Responsibilities Map Template
SMF Induction Checklist
SoR Template
Senior Managers Register
SMF Due Diligence Checklist
SMF Due Diligence Questionnaire
FIT Assessment Template
Conduct Rules Policy
SMF Handover Policy
Conduct Rules Training Guidance
Certification Functions Certificate
Training Policy & Templates
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Why Use SMCR Templates?

As the FCA’s implementation date for extending the Senior Managers & Certification Regime (SM&CR) to solo-regulated firms fast approaches, thousands of organisations have until 9th December 2019 to revise their existing APER and FIT programs and comply with the SMCR regime for all employees holding or being considered for SMF/CF roles.

Whilst no two companies are the same, the requirements set by the FCA mean that organisations from a vast array of industries and sectors will need to complete documents such as a Statement of Responsibilities (SoR) for their senior managers; complete fitness and propriety (FIT) assessments on all senior manager and/or certified employees and ensure that all relevant staff are trained in, and fully aware of the SMCR Conduct Rules.

After helping over 3000 organisations to implement regulatory compliance documents into their business, Know Your Compliance Limited are experts at providing easy to use; fully customisable and relevant policies, templates and documents for regulatory areas such as FCA, GDPR and AML compliance.


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