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The Senior Managers and Certification Regime Toolkit

Our SMCR Toolkit for newly authorised firms has been designed by a combination of our consultants, financial services lawyers and HR professionals and is packed with helpful material so that you can meet regulatory expectations cost effectively.

Project plan
A detailed project plan based on our past projects with firms that have already gone through the SMCR process. The project plan is easily customisable and cross refers to the other materials in the Toolkit.

Policy templates
We have a bank of policy templates including a handover policy, certification policy, conduct policy, whistleblowing policy, training policy, regulatory references policy.

Question and Answers document
These are the top 50 questions that our clients have asked during our past SMCR projects. We provide references to the relevant provisions.

Training slides
Training slides for senior managers and certified staff that link to our detailed Q&A so that you can up-skill your teams on the regime.

Rule matrix
We have produced a rule matrix so that you can easily see which rules apply and where they can be found.

Responsibility map templates
The pack contains template responsibility map with prepopulated responsibilities identified for the most common areas.

Compliance monitoring
Building on the rules matrix, we have designed a compliance monitoring programme to assist your compliance teams in demonstrating that they have adequate oversight of the applicable requirements, as outlined by SYSC 6.