l Limited Scope Firms Online Toolkit | SMCR Compliance

Limited Scope Firms online toolkit

Our SMCR toolkits were designed by lawyers and compliance experts at Robert Quinn Consulting 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 implantation and ongoing administration of the new regulations are more complicated and time-consuming than anticipated.

The Toolkit

  • Templates

    - Certification of Completion Template
    - Certification of Employees Template
    - CPD Record Template
    - FCA Statement of Responsibilities
    - Fitness & Propriety Assessment
    - Mapping Senior Managers & Certified Employees Limited Scope Firms
    - Regulatory Reference Template
    - Statement of Responsibilities Template

  • Amendments

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

  • Forms

    - FCA Organisational Chart and Responsibilities
    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 O - Notification of change to firm classificationunder the Senior Managers & Certification Regime (Pre-Commencement version)
    - Guidance Consultation 18-04 Proposed guidance on statements of responsibilities and responsibilities maps for FCA firms

The price for this toolkit

£600.00 inc. VAT