Enhanced Firms:
Enhanced Firms SMCR Toolkit

The price for this course: £416.67 excl. VAT

Enhanced Firms:
Enhanced Firms SMCR Toolkit

The price for this course: £416.67

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

You can purchase any combination of our broad range of e-Learning courses and onboard multiple users in your Firm, in just four quick and easy online steps:

1. Select the courses and add them to your Basket
2. Checkout and purchase your course(s)
3. Sign In and Register your relevant employees/Users
4. Allocate all your registered employees/Users to their course(s)

We’ll help you connect the dots with clear prompts and assistance throughout this quick and easy four-step process, which includes applying automated Volume Discounts depending on the number of courses you purchase, as follows:

Number of courses Volume Discount
10 – 24 courses 2.5% discount
25 – 49 courses 5% discount
50 – 99 courses 7.5% discount
100 – 149 courses 10% discount
150 – 199 courses 12.5% discount
200 – 249 courses 15% discount
250 – 299 courses 17.5% discount
>300 courses 20% discount

You will receive an enrolment email for each Course you sign Users up to.

Once registered and enrolled onto their course(s), your employees/Users will each receive a welcome email inclusive of their login credentials/instructions together with a separate enrolment confirmation for each of their courses.

All Clients have access to a centralised User Dashboard with Live Reporting on the progress of all your enrolled employees/Users and from where you can download all your employees/Users Course Certificates once they have successfully completed their courses. This is clearly explained in our Power User Guide, downloadable from your Account.

If you’d prefer support from our team, please click ‘Contact Sales’ on any of our course pages, fill in the form and we will contact you to provide assistance.

The Toolkit
  • Policies & Procedures

    - SMCR Policy
    - SMCR Operational Procedures
    - Training Policy & Plan

  • Templates

    - 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

  • Amendments

    - Amendment to Compliance Manual (contact us if you need a new manual)
    - Amendment to Employee Handbook

  • Forms

    - 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

The price for this course:

£416.67 excl. VAT

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