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Senior Managers & Certification Regime

The aim of the Senior Managers and Certification Regime (SM&CR) is to create individual accountability to encourage everyone, including staff to take personal responsibility for their actions. One of the main changes that the new regime requires is that all those involved in regulated activities will need to follow a Code of Conduct. Also, the majority of individuals who hold a Controlled Function will be converted over to the new Senior Manager Functions. As part of this anyone holding a SMF will need a Statement of Responsibilities.

At Ecompli, we have been carrying out training sessions on the SM&CR as part of this we produced the following guidance material to assist firms. We are also currently producing a manual and template Statement of Responsibilities that firms can use.

Senior Managers & Certification Manual

SM&CR Manual 996 KBDOCDownload
SM&CR Confirmation Form 27 KBDOCDownload

Guidance Documents

Senior Managers & Certification Regime Recap 1 MBDOCDownload
Regulatory Reference Template 908 KBDOCDownload
CF to SMF Conversion Table 863 KBDOCDownload
Senior Manager Functions Chart 1 MBDOCDownload
SM&CR Descriptions - Glossary of Terms 1 MBDOCDownload
SM&CR Summary Diagram 13 KBDOCDownload

Senior Managers - Statement of Responsibility

Statement of Responsibility - Mortgage Broker 879 KBDOCDownload
Statement of Responsibility - Insurance Broker 878 KBDOCDownload
Statement of Responsibility - Equity Release 879 KBDOCDownload

Certification Regime Assessments

Certificate Assessment - Adviser 901 KBDOCDownload
Record of Certification Tempate 74 KBDOCDownload
Record of Certification - Completed Example 74 KBDOCDownload

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