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 the same standard of high quality content and easy to use formats already used by over 3000 organisations in regulated industries and offers templates and policies for areas such as assessing fitness and propriety, adequately documenting management responsibilties & SM functions, applying the certification regime to the correct employees and documenting and evidencing compliance with the SM&CR.
The SMCR Document Pack is available to download instantly after payment has been made and a VAT invoice is provided with all orders. If the rules and regulations are added to or amended in the future, we also provide free updates via email, so you can be assured of ongoing compliance with the latest requirements.
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
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
Our complete pack is only £145+vat, making it affordable for firms of all scope and size.Read more about the SMCR contents!