FS REG has prepared template documents which contain everything you need to efficiently implement the SMCR at your firm.

The SMCR will replace the current Approved Persons Regime and introduce changes to how the FCA regulates individuals working in financial services. Firms affected by these changes will move to the new regime from 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 Assessment Form and Certificate 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.

Extracts of the above documents are provided here.

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 following PayPal button.  All major credit and debit cards accepted.  The purchase price is £249.


In addition to our template documents, we can provide to your firm individual assistance in relation to the implementation of the SMCR for a competitive fee. Please contact us at contact@fsreg.com if you wish to discuss this further.

Disclaimer:  This article provides general information only.  It is not comprehensive and does not constitute the provision of legal, investment or regulatory advice.  FS REG is not responsible for any action taken or omitted to be taken on the basis of the information contained in this article.  © 2019 FS REG Limited (www.fsreg.com).  All rights reserved.