SMCR Templates & Conduct Rules Training
For firms who don’t want to reinvent the wheel by writing all of their own documents and policies, Know Your Compliance Limited provide regulatory compliance content that is fully customisable and helps organisations to meet the myriad of controls, requirements and expectations set by regulators such as the FCA.
Our SM&CR Document Pack provides high quality, professional content and easy to use formats. Our templates are fully customisable and are already used by over 6000 organisations in regulated industries across the globe. Whether you need to complete and evidence a FIT assessment, write an SMF Handover Policy or draft your statement of responsibilities, we can help!
We also offer supporting compliance packs to several of the Prescribed Responsibilities obligations for firms who do not already have these policies and templates in place.
- (d) – Responsibility for the firm’s policies & procedures for countering the risk that the firm might be used to further financial crime – See our AML Toolkits
- (z) – Responsibility for the firm’s compliance with CASS – See our CASS Manual
- (j-3) – For firms outsourcing its internal audit function (outsourcing, due diligence & conflicts of interest) – See our Supporting Policies
SMCR Guidance from the FCA
The FCA have published extensive guidance and advice for solo-regulated firms on the Senior Manager & Certification Regime requirements. Their detailed publications and website help pages will guide you through what you need to have in place for SMCR compliance. Visit the FCA’s PDF Guidance Paper here.
SM&CR PACK CONTENTS
- Instruction Sheet
- SM&CR Policy Document
- Firm Type Assessment Guide
- Certification Functions Certificate Template
- Statement of Responsibilities Template
- Management Responsibilities Map Template
- FIT Assesment Process & Record
- SMF Handover Policy
- SM & PR Register Template
- SMF Due Diligence Checklist
- SMF Due Diligence Questionnaire
- SMF Induction Checklist
- Conduct Rules Policy
- Conduct Rules Training Guidance
- Skills Gap Analysis Template (Excel)
- Training & Development Policy
- Training Evaluation Template
- Training Log Template
- Whistleblowing Policy
- Induction Policy & Checklist (new)
- Recruitment & Selection Policy (new)
- Job Description Template (new)
Our complete pack is only £145+vat, making it affordable for firms of all scope and size.Read more about the SMCR contents!