SM&CR

Our range of SM&CR services delivered by experts who have a first-hand knowledge of the regime.

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A proportionate and straightforward approach

With hands-on experience in implementing SM&CR and having held Senior Management Functions (SMF), our experts bring a wealth of practical knowledge. This means we are uniquely placed to help you to ensure your SM&CR approach is proportionate and drives the right level of accountability in your business.

We provide you with tailored support to ensure SM&CR is fully embedded, meets regulator expectations but most importantly, works for your business.

  • Thorough review service for compliance with current SM&CR requirements with detailed feedback and recommendations provided by experienced consultants.
  • Assessment of all your SM&CR components, including statements of responsibilities, management responsibilities map, overall SMCR policy, fitness & propriety assessment process, breach notification  process and records, conduct rules training process and records, recruitment process (including regulatory references), and reasonable steps documentation.
  • Support in implementing the certification regime among the relevant members of your team ensuring properly documented delegated responsibilities and structuring your team’s responsibilities accordingly.
  • Analysis of your training and competence scheme to ensure that it’s fit for purpose under SM&CR.
  • Support for new Senior Managers in 'Form A' application preparation and supporting documentation, along with aid in obtaining or providing regulatory references and preparing for FCA interview.
  • Bespoke Conduct Rules Training - Engaging sessions led by experienced trainers incorporating real-life breach scenarios and case studies for practical understanding.

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