We have prepared template documents which contain everything an FCA authorised UK solo-regulated core firm needs to implement the Senior Managers and Certification Regime (“SMCR“).

The SMCR replaced the previous Approved Persons Regime and introduced changes to how the FCA regulates individuals working in financial services firms.  The changes came into effect on 9 December 2019.

Our pack of template documents contains:

1.     A comprehensive guide to the SMCR;

2.     A template compliance manual chapter covering the SMCR;

3.     An SMCR staff tracker template;

4.     The FCA Statement of Responsibilities form for Senior Managers;

5.     A template Certificate and Assessment Form of Fitness and Propriety for Certified Staff;

6.     A template Assessment Form of Fitness and Propriety for Senior Managers;

7.     A template undertaking of compliance with the Conduct Rules;

8.     A Powerpoint presentation providing general guidance on the SMCR;

9.     A Powerpoint presentation providing training to staff on the Conduct Rules; and

10.  A handout for the presentation providing training to staff on the Conduct Rules.

A preview of the above documents is available here: SMCR Template Documents for UK Solo Regulated Core Firms – Preview.

The benefits of using our template documents are:

•     Time efficiency: the template documents are drafted in a concise and simple way which makes them quick and easy to use.

•     Cost efficiency: the pack of template documents is on sale for a price which we understand is substantially lower than what some of our competitors charge.

•     Flexibility: the template documents are suitable for all types of UK solo-regulated core SMCR firms and are provided in a Word or Powerpoint format that can be easily tailored by your firm.

To buy our template documents, please use the Buy Now button below.  All major credit and debit cards accepted.  The purchase price is £149.99.

The SMCR template documents will be emailed to you as Word or Powerpoint documents within one working day of your order.

In addition to our template documents, we can provide individual assistance in relation to the implementation of the SMCR for a competitive fee.  Please contact us at [email protected] if you wish to discuss this further.

Disclaimer:  Our templates are provided by Chelsea Publishing Limited trading as FSREG Templates on an “as is” basis for reference purposes only and without any guarantee of their suitability, accuracy, completeness or compliance with any applicable laws and regulations.  Chelsea Publishing Limited is not responsible for any action taken or omitted to be taken based on its templates and individual legal, tax, investment and regulatory advice should always be obtained before its templates are used.  © 2022-2023 Chelsea Publishing Limited.  All rights reserved.