SM&CR Compliance Resources
Are you doing it right?
The Senior Managers and Certification Regime has been in place for a number of years now and we’re beginning to see enforcement action for breaches.
In our webinar we’ll explore enforcement the FCA has taken, what went wrong and the key steps firms should take to be compliant. With tips on how to avoid breaches this webinar is a fantastic opportunity to sit back and assess whether you’re doing SM&CR correctly.
Conduct Rules Training
These Conduct Rules Training courses meet the FCA's annual training requirement in respect of the Conduct Rules. We offer two different courses:
1. For team members under the Certification Regime as well as all other team members who need to abide by the Conduct Rules £20 per delegate
2. For Senior Managers under the Certification Regime £30 per delegate
Should you wish to purchase the training for larger teams rather than on a per delegate basis, find out more about our Corporate Online Training Platform.
Our Senior Managers & Certification Regime (SM&CR) resources are specifically designed to support your firm's continued compliance with the Regime. We offer:
Guide for Solo Regulated Firms £75
Fit & Proper Assessment Template £75
Statement of Responsibilities Template £25
NEW! SMF Training and Development Plan £75
NEW! SMF Skills Gap Analysis £25
NEW! SMF Authorisation Guide FREE
NEW! Senior Manager Function Application Pack £150
Template Certificate for the Certification Regime FREE
Guide for Solo Regulated Firms
This 85-page guide is intended for solo-regulated firms – those regulated by the FCA only - on the transition to the SM&CR. It sets out the background & steps - in plain, easy to understand English - required to ensure compliance with the new Regime.
Fit & Proper Assessment Template
This Fit & Proper Assessment Template provides a framework for firms that are subject to the FCA’s SM&CR to use to collate information they need to assess an individual’s fitness and propriety.
Statement of Responsibilities Template
A Statement of Responsibilities is required under the Senior Managers Regime for anyone performing a designated Senior Management function. This template can be used to ensure FCA compliance to the Regime.
Senior Manager Function Application Pack
This pack provides you with all you need to get a senior manager authorised by the FCA, it includes:
SMF Authorisation Guide
Fit & Proper Assessment Template (normally £75)
Statement of Responsibilities Template (normally £25)
SMF Skills Gap Analysis (normally £25)
SMF Training and Development Plan (normally £75)