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SMCR Policies & Procedures Toolkits

Firms will have already implemented SMCR for the deadline in December 2019, however they must now ensure that their policies and procedures are in place for ongoing compliance.

SMCR Policies & Procedures Toolkits

Firms will have already implemented SMCR for the deadline in December 2019, however they must now ensure that their policies and procedures are in place for ongoing compliance.

Our SMCR toolkits were designed by lawyers and compliance experts at RQC Group to provide firms with all the compliance documents they need to implement SMCR in a pragmatic and cost-effective way. The toolkits contain robust policies and procedures to help with the ongoing administration of SMCR.

Our SMCR operational procedures, detailed in over 100 pages, will instruct you step by step through the administration process. Please scroll down to learn more about our various toolkit offerings.

Policies and Procedures

The policies and procedures provide you with robust documented policies and operational procedures, to demonstrate that your firm understands its FCA obligations and has accordingly implemented effective controls. In addition, our templates provide you with the tools to efficiently handle both Senior Managers and Certified Employees.

While the concepts of SMCR may be easy to understand, the implementation and ongoing administration of the new regulations are more complicated and time-consuming than anticipated. Our toolkits provide you with amendments to both your compliance manual and employee handbook.

Toolkits by Type of Firm

We have created toolkits which are specific to the type of firm you are. Please click on the type of firm to learn more about our toolkit offering

Not sure what firm you are?

If you are unsure what category your firm is please contact us or use our helpful diagram from the FCA