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SM&CR Templates

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.

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All our Senior Managers & Certification Regime (SM&CR) resources are specifically designed to support your firm's continued compliance with the regime.

SM&CR Webinars

SMCR Changes and Non-Financial Misconduct.png

Are you doing it right?

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.

Changes and Non-Financial Misconduct

In this webinar we cover the impact the Leeds Reforms will have on SM&CR as well as changes in light of non-financial misconduct requirements. This webinar was co-hosted by PeopleClear, a provider of SM&CR software.

Briefing Note:

Download our free SM&CR Briefing Note

SM&CR BRIEFING NOTE

This briefing note is designed to provide the reader with a clear understanding of the current requirements under the SM&CR. It can be used by those looking to gain an understanding of the regime as well as by experienced individuals to benchmark their firm's compliance.

SM&CR Template Documents

STATEMENT OF RESPONSIBILITIES
£25+VAT

  • Interactive document helping your SMF’s select the relevant responsibilities

  • Guidance embedded in document

FIT & PROPER ASSESSMENT
£99+VAT

  • Interactive document helping you ensure fitness 

  • Applicable for senior managers or certification staff

  • Covers FIT 2.1-2.3

  • Guidance embedded in document

SMF SKILLS GAPS ANALYSIS
£25+VAT

  • Detailed analysis of skills gaps & training needs as expected by the FCA

  • Presentation of document means you will be ready to submit to the regulator

SMF TRAINING & DEVELOPMENT PLAN
£75+VAT

  • Support SMF candidates whose skills gap analysis has highlighted potential gaps in training and competencies

  • This template assists in the tailoring of a training and development plan

SMF AUTHORISATION GUIDE
FREE

  • Taking you through the regime and what is expected

SMF APPLICATION BUNDLE
£150+VAT

This pack provides you with all you need to get a senior manager authorised by the FCA, it includes all of the above:

  • Statement of Responsibilities Template (normally £25) 

  • Fit & Proper Assessment Template (normally £99)

  • SMF Skills Gap Analysis (normally £25)

  • SMF Training and Development Plan (normally £75)

  • SMF Authorisation Guide

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