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SM&CR Compliance Resources

SM&CR Webinar

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.

SM&CR Are you doing it right.png

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:

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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

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2.  For Senior Managers under the Certification Regime £30 per delegate

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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.

SM&CR Resources

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

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  • 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
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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.

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£75.00

Fit & Proper Assessment Template
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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.

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£75.00

Statement of Responsibilities Template
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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.

 

​£25.00

SMF Training and Development Plan
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This template training and development plan is designed to 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.

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£75.00

SMF Skills Gap Analysis
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Under the SM&CR firms must submit evidence of the candidate's suitability when applying for SMF approval. As part of the application, firms should provide a skills gap analysis. This template supports that requirement.

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£25.00

SMF Authorisation Guide
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This guide sets out the process for submitting a Senior Management Function application to the Financial Conduct Authority (FCA).

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FREE

Senior Manager Function Application Pack
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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)

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£150.00

Template Certificate for the Certification Regime
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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.

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FREE

Full Compliance Resources Library

FCA Application

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Consumer Duty

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Operational Resilience

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