SMCR - The Senior Managers and Certification Regime
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Members are encouraged to personalise the documents to fit their corporate style, however
no changes to the actual procedure or wordings should be made without checking with the
dCL Helpdesk on 01604 709942 – Email: helpdesk@dartcompliance.co.uk
Agenda of compliance talking points for a board meeting.
Checklist detailing points to be covered in audits of branch offices.
Register for recording breaches of the Code of Conduct (COCON).
Checklist to ensure that SMCR has been properly implemented and embedded in the Firm - Microsoft Word Version
Checklist to ensure that SMCR has been properly implemented and embedded in the Firm - Microsoft Excel Version
Fitness and Propriety Questionnaire. It is a REQUIREMENT that each Senior Manager fills this in in an annual basis (See T&C folder for General Staff Version)
Version of a Senior Manager statement of responsibility for internal filing.
Sanctions Hit Letter
Guidance relating to activities undertaken under Senior Management Functions
Guidance relating to Credit Lender Activities
A document detailing a Senior Manager's Responsibilities, as well as detailing the method by which that Senior Manager came to understand the relevant regulatory requirements, the relevant reporting and supervision lines, and details of management information and reporting.
A document detailing a Senior Manager's Responsibilities, as well as detailing the method by which that Senior Manager came to understand the relevant regulatory requirements, the relevant reporting and supervision lines, and details of management information and reporting.
A document detailing a Senior Manager's Responsibilities, as well as detailing the method by which that Senior Manager came to understand the relevant regulatory requirements, the relevant reporting and supervision lines, and details of management information and reporting.
The Senior Managers & Certification Regime and Conduct Rules (CONC) require changes to employment contract terms covering the following areas. These example wordings must be checked with the firm’s HR resource prior to implementation.
All applications for Senior Manager Functions (SMF) must be accompanied by a description or copy of the Skills Gap Analysis undertaken by the business prior to appointing the candidate to the position. In the case of Certified Staff, this process is a valuable step in evaluating skills competency prior to certification.
Wind Down Spreadsheet
Checklist for Wind Down Planning