Products
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SM&CR - SMF Skills Gap Analysis
CourseUnder the SM&CR firms must submit evidence of the candidate's suitability when applying for SMF approval. As part of the application, firms should provide a skills gap analysis. This template supports that requirement.
£25
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SM&CR - Fit & Proper Assessment Template
CourseThis Fit & Proper Assessment Template provides a framework for firms that are subject to the FCA’s SM&CR to use to collate information they need to assess an individual’s fitness and propriety.
£75
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SM&CR Webinar: Are you doing it right?
CourseIn this webinar we’ll explore enforcement the FCA has taken, what went wrong and the key steps firms should take to be compliant. This webinar provides a fantastic opportunity to sit back and assess whether you've implemented SM&CR correctly.
Free
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Senior Managers & Certification Regime Guide for Solo Regulated Firms
CourseThis 85-page guide is intended for solo-regulated firms – those regulated by the FCA only - on the transition to the SM&CR. It sets out the background & steps - in plain, easy to understand English - required to ensure compliance with the new Regime.
£75
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Template Certificate for the Certification Regime
CourseThese Certification Templates are worded to ensure compliance to the Certification Regime under SM&CR. Firms will be required to check & confirm (‘certify’) that certified staff are suitable to do their job & provide certification.
Free