SM&CR Audit

Track and demonstrate compliance with SM&CR rules:

• Firm Classification

• Firm Type Requirements

• Criminal Records Checks

• Prescribed Responsibilities

• Overall and Local Responsibility

• Exclusions

• Statement of Responsibilities (SoR)

• Fit and Proper Character Declaration

• Certification Regime

• Handover Procedures

• Responsibilities Map

• Conduct Rule Training

• Conduct Rule Breaches

• Regulatory Reporting / Directory Submissions