SMCR Policy Templates for FCA Compliance

SMCR Policy Templates for FCA ComplianceKnow Your Compliance Limited provide one of the industries only SMCR policy and template toolkits, providing documents and materials that meet the FCA’s SMCR requirements. Covering areas such as FIT assessments, CF certificate template, SMCR due diligence, statement of responsibility template and more, our templates are fully customisable.

Already used by hundreds of FCA regulated firms, we provide working guidance on developing compliant conduct rules training and supply templates for assessing and monitoring those performing senior management functions (SMF) and certification functions.

Our SMCR Policy Templates for FCA compliance or those seeking to gain FCA authorisation save firms time and money on not developing their own documents for SMCR compliance. We provide professional and high quality formats that are suitable for all FCA regulated industries.

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