SM&CR Compliance Resources

Senior Managers & Certification Regime

Our Senior Managers & Certification Regime (SM&CR) resources are specifically designed to support your firm's continued compliance with the Regime. We offer:

  • Conduct Rules Training £20-30 per delegate

  • Guide for Solo Regulated Firms £75

  • Fit & Proper Assessment Template £75

  • Statement of Responsibilities Template £25

  • Template Certificate for the Certification Regime FREE


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.

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.



Template Certificate for the Certification Regime

These Certification Templates are worded to ensure compliance to the Certification Regime under SM&CR. Firms will be required to check & confirm (‘certify’) that certified staff are suitable to do their job & provide certification.


Full Compliance Resources Library

FCA Guidance

Consumer Duty

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