SMCR Policy Templates for FCA Compliance

SMCR Policy Templates for FCA ComplianceKnow Your Compliance Limited provide the UK’s leading and most comprehensive SMCR policy and template toolkit., The SMCR template suite provides templates, tools and materials that meet the FCA’s SMCR requirements. Covering areas such as skills gap analysis, FIT assessments, CF certification, SMCR due diligence, SMF handbover, conduct rules training, statement of responsibility template and more.

All templates are developed using the SMCR and supporting FCA handbook rules and are fully customisable. The toolkit has recently been updated to include the Consumer Duty requirements for COCON additions and the new Conduct Rule 6.

Already used by thousands of regulated firms, we provide professional content and guidance for developing and implementing compliant SMCR templates, assessments and policies that can be used to demonstrate your compliance wo thr FCA.

Our SMCR Policy Templates are auitable for those seeking FCA authorisation or looking to review and update existing compliance programs to ensure they meet your obligations and mandatory rules. Why spend time and money developing your own SMCR policies when we have already done the hard work for you. Affordable and compliant for just £175 (+vat)!

FCA’s SMCR Rules & Guidance

For more information on how to comply with the FCA’s Senior Managers Certification Regime (SMCR) or what rules and regulations firms must follow, you can visit the regulators website at their SMCR Page.

If you would like to read more about our exclusive SMCR Template Pack, click the link below to be taken to the SMCR Product page where you can read what is included in the pack.

There are 3 tiers under the SM&CR:

  • Core: firms in this tier must comply with the baseline requirements.
  • Enhanced: this applies to a small number of firms whose size, complexity and potential impact on consumers or markets warrant more attention. These firms have extra requirements.
  • Limited Scope: this applies to firms who already had/have exemptions under the Approved Persons Regime. These firms are exempt from some baseline requirements and typically have fewer senior management functions.
View Our SMCR Policy Pack Contents