Products
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SM&CR - Statement of Responsibilities Template
CourseA Statement of Responsibilities is required under the Senior Managers Regime for anyone performing a designated Senior Management function. This template can be used to ensure FCA compliance to the Regime.
£30
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SMF Authorisation Guide
CourseThis guide sets out the process for submitting a Senior Management Function application to the Financial Conduct Authority (FCA).
Free
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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.
£30
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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.
£118.80
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Operational Resilience Simplified
CourseThe FCA’s Operational Resilience transition periods ends in March 2025. This compact and comprehensive guide sets out what the regulators expect, in language that makes sense from the perspective of your firm.
£60
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Operational Resilience Roadmap
CourseThis roadmap gives you an overview of the key requirements and expectations of the FCA for operational resilience in financial services firms.
Free