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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.
|SM&CR Manual||996 KB||DOC||Download|
|SM&CR Confirmation Form||27 KB||DOC||Download|
|Senior Managers & Certification Regime Recap||1 MB||DOC||Download|
|Regulatory Reference Template||908 KB||DOC||Download|
|CF to SMF Conversion Table||863 KB||DOC||Download|
|Senior Manager Functions Chart||1 MB||DOC||Download|
|SM&CR Descriptions - Glossary of Terms||1 MB||DOC||Download|
|SM&CR Summary Diagram||13 KB||DOC||Download|
|Statement of Responsibility - Mortgage Broker||879 KB||DOC||Download|
|Statement of Responsibility - Insurance Broker||878 KB||DOC||Download|
|Statement of Responsibility - Equity Release||879 KB||DOC||Download|
|Certificate Assessment - Adviser||901 KB||DOC||Download|
|Record of Certification Tempate||74 KB||DOC||Download|
|Record of Certification - Completed Example||74 KB||DOC||Download|
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