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.
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. Our toolkits provide you with amendments to both your compliance manual and employee handbook.
We have created toolkits which are specific to the type of firm you are. Please click on the type of firm to learn more about our toolkit offering
If you are unsure what category your firm is please contact us or use our helpful diagram from the FCA
Click on your type of firm below to learn more about our complete range of services which will ensure that you firm is SMCR compliant.