SM&CR

Our range of SM&CR services delivered by experts who have a first-hand knowledge of the regime.

A proportionate and straightforward approach

With hands-on experience in implementing SM&CR and having held Senior Management Functions (SMF), our experts bring a wealth of practical knowledge. This means we are uniquely placed to help you to ensure your SM&CR approach is proportionate and drives the right level of accountability in your business.

We provide you with tailored support to ensure SM&CR is fully embedded, meets regulator expectations but most importantly, works for your business.

  • Thorough review service for compliance with current SM&CR requirements with detailed feedback and recommendations provided by experienced consultants.
  • Assessment of all your SM&CR components, including statements of responsibilities, management responsibilities map, overall SMCR policy, fitness & propriety assessment process, breach notification  process and records, conduct rules training process and records, recruitment process (including regulatory references), and reasonable steps documentation.
  • Support in implementing the certification regime among the relevant members of your team ensuring properly documented delegated responsibilities and structuring your team’s responsibilities accordingly.
  • Analysis of your training and competence scheme to ensure that it’s fit for purpose under SM&CR.
  • Support for new Senior Managers in 'Form A' application preparation and supporting documentation, along with aid in obtaining or providing regulatory references and preparing for FCA interview.
  • Bespoke Conduct Rules Training - Engaging sessions led by experienced trainers incorporating real-life breach scenarios and case studies for practical understanding.

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Compliance Services

We provide practical and commercial regulatory advice to simplify your compliance efforts. Designed to protect your business, lighten the load and help you spot opportunities.

Bench Strength

Our expertise and experience is on hand to help you empower your business. We have a bench of consultants at your service to help you tackle your regulatory challenges.

RegTech Solutions

Because of our extensive client side experience our platform provides access to a range of tried and tested regulatory technology solutions that will bring efficiencies to your business.

Partner Matching

We have an expert partner panel that we can seamlessly connect to your business. Because we understand your needs we can match you to the companies who are best sector.

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