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Taking day to day SMCR ‘pain’ away

FCA regulated firm?

Looking to outsource your SMCR tasks?

From evaluation to training to ongoing support, we’ve got you covered.

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Evaluation

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Remediation

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Training

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Support

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SMCR overview

Where do we come in?

We’ll take the administrative burdens and demands off your plate.

We can assist with most SMCR related work, ranging from assisting with the SORs, providing audit trails for demonstrating reasonable steps, to providing full training on the Conduct rules

Our strong knowledge of the FCA handbook and FCA published papers and of the current regulatory environment will come in handy for your business.

Or, we could just provide a one-off ‘Healthcheck’ on all things SMCR in your firm.

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SMCR regime modules

We have developed a system of modules to ensure SMCR compliance. Apart from the ‘Healthcheck’ all offer remediation and training if necessary.

1. Healthcheck

This checks the state of SMCR, through a questionnaire and interviews. We’ll then do an analysis and you’ll receive a full report.

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2. SMR deep dive

An evaluation of your Senior Managers Regime components, covering:

  • Firm responsibility maps
  • Statements of responsibility
  • Reasonable steps and evidence of reasonable steps
  • Regulatory references processes
  • Fit and proper assessments / affirmation
  • Conduct rules
  • Breach and incident reporting

3. Certification deep dive

Evaluation and remediation of your certification components, covering everything from fit and proper assessments, including training and competency, to certification.

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4. SMCR for HR

This module is aimed specifically at HR teams. We’ll evaluate your employment practices and remediate when needed, covering:

  • Hiring process
  • Onboarding and offboarding process
  • Settlement contracts
  • Regulatory references

5. SMCR training

We run live training sessions targeted at senior managers and certified staff, to bridge any knowledge gaps. This will cover general SMCR, but additional training can also be provided for specific roles if required.

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6. Ongoing support

We won’t leave you to fend for yourself.

Access our general ‘Helpline’ offering remote SMCR support and advice, plus BAU SMCR (operation of all your requirements).

This can be accessed on an ongoing or monthly basis.

How does it work?

You can utilise the modules as they are, or a combination of any of the above. We can also arrange a bespoke offering for your firm.

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