Senior management transitions are among the highest-risk moments in a regulated firm's compliance lifecycle. SYSC 25.9 requires firms to ensure every incoming SMF Manager receives all information and materials needed to discharge their regulatory responsibilities from day one — and the FCA won't accept "we didn't have a process" as a defence. A poorly managed transition doesn't just create operational risk — it creates personal regulatory liability for the incoming senior manager before they've had a chance to act. The FCA doesn't wait.
What's included:
Full regulatory mapping: SYSC 25.9, FSMA s.59 & s.66B, SM&CR, SYSC 5.1 & 9
Complete transition scenario coverage: new appointments, internal transfers, interim arrangements, NEDs, and contractors
Structured 4-week minimum handover timeline: mandatory pre-commencement requirements, formal risk assessment, and outgoing SM obligations
Core documentation package: Statement of Responsibilities, governance structure, risk policies, and escalation procedures
Training and competency assessment framework aligned to SYSC 5.1
SMF Manager Register: 5-day update requirement and evidence requirements
Quarterly monitoring framework: KPIs, monthly compliance reporting, and full policy governance
+ much more
Who is this for?
SMF16 holders, CEOs, HR Directors, and Company Secretaries at FCA-regulated firms who need a complete, board-approved SMF Handover Policy that protects both the firm and the incoming senior manager from day one.
How it works
Step 1 — Read it. Every section exists for a reason, grounded in a specific regulatory obligation.
Step 2 — Understand it. Map the content against your current practices. Identify where you're strong and where gaps exist.
Step 3 — Make it yours. Tailor the language to reflect how your organisation actually operates. A policy that sounds like your firm is a policy your people will follow.
Step 4 — Take ownership. Assign clear accountability — Board approval, named SMF holder, designated policy owner. A policy without an owner is a liability, not an asset.
Step 5 — Operationalise it. Embed the policy into your governance calendar, training programme, and annual review cycle. This is where compliance becomes culture.
Or, get this free with RegTechPRO
Access this alongside the full compliance policy library — SM&CR, COBS, AML, Consumer Duty, GDPR, and more — for a fraction of the cost of consultancy.
View RegTechPRO pricing and packages →
Senior management transitions are among the highest-risk moments in a regulated firm's compliance lifecycle. SYSC 25.9 requires firms to ensure every incoming SMF Manager receives all information and materials needed to discharge their regulatory responsibilities from day one — and the FCA won't accept "we didn't have a process" as a defence. A poorly managed transition doesn't just create operational risk — it creates personal regulatory liability for the incoming senior manager before they've had a chance to act. The FCA doesn't wait.
What's included:
Full regulatory mapping: SYSC 25.9, FSMA s.59 & s.66B, SM&CR, SYSC 5.1 & 9
Complete transition scenario coverage: new appointments, internal transfers, interim arrangements, NEDs, and contractors
Structured 4-week minimum handover timeline: mandatory pre-commencement requirements, formal risk assessment, and outgoing SM obligations
Core documentation package: Statement of Responsibilities, governance structure, risk policies, and escalation procedures
Training and competency assessment framework aligned to SYSC 5.1
SMF Manager Register: 5-day update requirement and evidence requirements
Quarterly monitoring framework: KPIs, monthly compliance reporting, and full policy governance
+ much more
Who is this for?
SMF16 holders, CEOs, HR Directors, and Company Secretaries at FCA-regulated firms who need a complete, board-approved SMF Handover Policy that protects both the firm and the incoming senior manager from day one.
How it works
Step 1 — Read it. Every section exists for a reason, grounded in a specific regulatory obligation.
Step 2 — Understand it. Map the content against your current practices. Identify where you're strong and where gaps exist.
Step 3 — Make it yours. Tailor the language to reflect how your organisation actually operates. A policy that sounds like your firm is a policy your people will follow.
Step 4 — Take ownership. Assign clear accountability — Board approval, named SMF holder, designated policy owner. A policy without an owner is a liability, not an asset.
Step 5 — Operationalise it. Embed the policy into your governance calendar, training programme, and annual review cycle. This is where compliance becomes culture.
Or, get this free with RegTechPRO
Access this alongside the full compliance policy library — SM&CR, COBS, AML, Consumer Duty, GDPR, and more — for a fraction of the cost of consultancy.
View RegTechPRO pricing and packages →
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