SMCR Implementation Best Practice Guide

Length: 32 Pages | Format: PDF e-Book

The Senior Managers and Certification Regime (SMCR) is a regulatory regime for financial services firms in the UK.

The Financial Conduct Authority (FCA) designed the SMCR to ensure greater personal accountability, especially by Senior Managers. 

Every firm has an obligation to ensure that all Senior Managers have taken reasonable steps to prevent regulatory breaches in their areas of responsibility.

Our free guide will help you follow best practices when implementing your SMCR programme.



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What this guide covers...

  1. Approach to Implementation (2 pages)
  2. The Senior Managers Regime (4 pages)
  3. Fit & Proper (2 pages)
  4. The Certification Regime (3 pages)
  5. Conduct Rules (2 pages)
  6. Avoiding Common Pitfalls (1 page)
  7. Useful Online Resources (3 pages)
  8. Implementation Checklist (6 pages)

Download your SMCR guide