SM&CR Policy Template
Length: 39 Pages
Applies to: All regulated firm types
Fully Customisable SM&CR Manual Template
A fully editable Word manual designed to help Core, Enhanced, and Limited Scope firms meet FCA SM&CR requirements, aligned with SYSC, COCON, and FIT. It promotes a culture of accountability, clarity, and compliance.
The manual covers governance, SMF oversight, SoRs, PRs, Responsibility Maps, fitness and propriety assessments, and conduct rules—alongside key areas like the Duty of Responsibility, handovers, and the 12-week rule. It includes mapped responsibilities, workflows, and guidance per SMF role.
Chapters on COCON offer clear direction for training, breach reporting, and disciplinary action. Tools and checklists fully support certification, fit and proper checks, T&C, and reassessments.
It also details internal oversight, FCA notifications, breach escalation, disciplinary steps, appeals, audits, and regulatory reference checks—ensuring end-to-end coverage for SM&CR implementation.
Ideal for firms of all sizes—banks, insurers, credit providers, fintech—this template is downloadable, editable, and crafted by FCA compliance experts. It saves time and supports robust, audit-ready compliance.
Length: 39 Pages
Applies to: All regulated firm types
Fully Customisable SM&CR Manual Template
A fully editable Word manual designed to help Core, Enhanced, and Limited Scope firms meet FCA SM&CR requirements, aligned with SYSC, COCON, and FIT. It promotes a culture of accountability, clarity, and compliance.
The manual covers governance, SMF oversight, SoRs, PRs, Responsibility Maps, fitness and propriety assessments, and conduct rules—alongside key areas like the Duty of Responsibility, handovers, and the 12-week rule. It includes mapped responsibilities, workflows, and guidance per SMF role.
Chapters on COCON offer clear direction for training, breach reporting, and disciplinary action. Tools and checklists fully support certification, fit and proper checks, T&C, and reassessments.
It also details internal oversight, FCA notifications, breach escalation, disciplinary steps, appeals, audits, and regulatory reference checks—ensuring end-to-end coverage for SM&CR implementation.
Ideal for firms of all sizes—banks, insurers, credit providers, fintech—this template is downloadable, editable, and crafted by FCA compliance experts. It saves time and supports robust, audit-ready compliance.
Length: 39 Pages
Applies to: All regulated firm types
Fully Customisable SM&CR Manual Template
A fully editable Word manual designed to help Core, Enhanced, and Limited Scope firms meet FCA SM&CR requirements, aligned with SYSC, COCON, and FIT. It promotes a culture of accountability, clarity, and compliance.
The manual covers governance, SMF oversight, SoRs, PRs, Responsibility Maps, fitness and propriety assessments, and conduct rules—alongside key areas like the Duty of Responsibility, handovers, and the 12-week rule. It includes mapped responsibilities, workflows, and guidance per SMF role.
Chapters on COCON offer clear direction for training, breach reporting, and disciplinary action. Tools and checklists fully support certification, fit and proper checks, T&C, and reassessments.
It also details internal oversight, FCA notifications, breach escalation, disciplinary steps, appeals, audits, and regulatory reference checks—ensuring end-to-end coverage for SM&CR implementation.
Ideal for firms of all sizes—banks, insurers, credit providers, fintech—this template is downloadable, editable, and crafted by FCA compliance experts. It saves time and supports robust, audit-ready compliance.