Our SMCR toolkits were designed by lawyers and compliance experts at RQC Group to provide firms with all the compliance documents that need to implement SMCR in a pragmatic and cost-effective way.
The toolkits have been designed so that firms are able to have a robust documentary framework in place in for the SMCR.
The policies and procedures provide you with robust documented policies and operational procedures, to demonstrate that your firm understands its FCA obligations and has accordingly implemented effective controls.
In addition, our templates provide you with the tools to efficiently handle both Senior Managers and Certified Employees. Finally, our toolkits provide you with amendments to both your compliance manual and employee handbook.
Keep in mind that while the concepts of SMCR may be easy to understand, the implementation and ongoing administration of the new regulations are more complicated and time-consuming than anticipated.
Purchasing, Onboarding & Volume Discounts
Policies & Procedures
- SMCR Policy
- SMCR Operational Procedures
- Training Policy & Plan
- FCA Template Statement of Responsibilities
- Statement of Responsibilities
- Senior Manager Handover Policy & Certificate Template
- Certificate of Completion Template
- Certification of Employees Template
- CPD Record Template
- Regulatory References Template
- Employee Fitness & Propriety Assessment
- Mapping Senior Employees & Certified Employees
- Amendment to Compliance Manual (contact us if you need a new manual)
- Amendment to Employee Handbook
- FCA Organisational Chart and Responsibilities Map
- Current Form A
- New SMCR Long Form A – Application to perform controlled functions including SMFs
- New SMCR Short Form A – Application to perform controlled functions including SMFs
- Form B - Notice to withdraw an application to perform controlled functions (including senior management functions)
- Form C – Notice of ceasing to perform controlled functions including SMFs
- Form D - Changes to personal information/application details and conduct breaches/disciplinary action related to conduct
- Form E – Internal transfer of a person performing a controlled function for solo regulated firms
- Form H - Notification of Disciplinary Action relating to conduct rules staff (other than SMF managers) in SMCR firms
- Form I - Application for the Variation of a Conditional Approval for the performance of a SMF
- Form J – Notification of Significant Changes in Responsibilities of a SMF Manager
- Form K – Conversion Notification Form
- Form O - Notification of change to firm classificationunder the Senior Managers & Certification Regime(Pre-Commencement version).pdf
- Guidance Consultation 18-04 Proposed guidance on statements of responsibilities and responsibilities maps for FCA firms
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