SMCR Registers

Streamline your SMCR compliance

The SMCR registers automatically populate Senior Management Functions (SMFs) based on the firm type you select. This means the relevant SMF roles are pre-filled according to the FCA's classification, reducing your need for manual cross-checking or referencing external guidance.

By drawing on data from multiple sources -including your LMS, HR systems, and internal records - the SMCR Registers module builds and maintains complete, up-to-date profiles for your senior managers and certified persons.

Additionally, certification alerts are now triggered based on role requirements, helping you stay on top of certification obligations and deadlines.

This ensures you can confidently submit senior managers for FCA approval, certify material risk takers, and report overall compliance to regulators and auditors with ease.

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Storing key documents

Relevant documents - such as credit checks, DBS/criminal record checks, regulatory references, and qualification certificates - can be securely stored within the system for internal verification prior to issuing certification. This supports compliance with SMCR requirements and ensures all necessary evidence is retained for audit purposes.

Key features

Streamline approvals of senior managers and annual certification of material risk-takers

Record keeping and chase-ups to save time

Firm-wide consistency in record keeping

Improve accountability and management oversight

Identify upcoming SMCR tasks and potential compliance gaps

Become audit-ready for regulatory and reference requests

Why choose our SMCR Register tool?

Reduces reliance on spreadsheets, which can be overwhelming and error-prone.
Automatically populates SMF roles based on firm type, minimising manual input.
Triggers built-in certification alerts based on role requirements.
Allows secure storage of key documents (e.g. credit checks, DBS, regulatory references) for internal verification.
Helps ensure responsibilities are correctly assigned and tracked.
Makes it easier to identify and correct any gaps before submission to the regulator.
Lightens the overall SMCR admin burden and supports confident compliance.

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Format: Interactive Online Demonstration

Within the demo, we'll take the time to understand your compliance challenges and suggest the learning solutions that best fit your needs.

Learn more about our...

Compliance platform - A tour of our Learning Management System (LMS) and extensive library of off-the-shelf courses.
Key LMS features - Including learning paths, course allocation, management reporting and customisation options.
End-user experience - From accessibility to mobile-friendly responsive design.
Customer success - What to expect from your dedicated service manager, from setup and portal branding to course assignment and product support.