The FCA's Senior Managers and Certification Regime – SMCR

Establish and maintain your Senior Manager Regime obligations with a single platform for assigning functions, logging roles, and tracking responsibilities.

• Customise roles and lines of reporting with multiple-level assignments and approvals
• Keep information accessible and secure with visibility customised by group, role, and scope

Monitor and control the certification process while making it easy for your employees to complete assessments. Conduct fitness and propriety assessments, monitor status, and certify senior managers through the creation and distribution of digital SMCR forms.

• Streamline F&P certification while accommodating the firm’s unique structure with sign-off from multiple line managers
• Track assessment status and completion
• Upon employee completion and approval, generate a certificate that remains valid for 12 months
• Export status and questionnaire section progress
• Maintain an audit trail of changes

Foster a culture of compliance with documented reporting lines, responsibilities, and conduct rules. Demonstrate firm structure and reporting lines with responsibility maps and the FCA persons directory.

• Visualise firm structure and reporting lines with Relationship Maps, customisable by certifying entity
• See and understand roles, responsibilities, certification status, and certifying entity with the Persons Directory
• Export certificates, Relationship Maps, audit trails, and profile data for regulatory reporting