SM&CR Compliance | FCA Documents | SMCR Toolkit

SMCR implementation does not have to be complex or expensive. 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 in this area. 

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?

Whilst the FCA’s implementation date for complying with the new Senior Managers & Certification Regime (SM&CR) for solo-regulated firms was 9th December 2019, firms still have until 9th Decemeber 2020 to train their staff in the Conduct Rules and to submit information about Directory Persons to the Register. The deadline for these two areas may well be extended to remain consistent with the Treasury’s decision to extend the above deadline to to 31st March 2021 for firms to assess (and certify) staff in relevant roles as fit and proper.

Whilst no two companies are the same, the requirements set by the FCA mean that organisations from a vast array of industries and sectors are now required 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 are 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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