Senior Managers and Certification Regime (SMCR) | Templates for FCA Applications and Authorised Firms | FCA Handbook

This form applies to UK relevant authorised persons. It does not apply to incoming EEA relevant authorised persons, third country relevant authorised [...]

Introduction to Questionnaire A Senior Management Function (SMF) is a controlled function as specified under the Financial Services and Markets Act 2000 [...]

1 SMF/CR Induction Diligence Checklist AUDIT TYPE:  NEW STARTER/EXISTING EMPLOYEE DATE:  ________________­ NAME OF AUDITOR:  _______________ AUTHORISED BY:  _________________ 1. SMF/CF [...]

1 SMF/CR Due Diligence Checklist AUDIT TYPE:                      INITIAL/ANNUAL/SPOT CHECK DATE:                                  ________________­ NAME OF AUDITOR:   _________________________ AUTHORISED BY:        ________________­­­­_________ 1. SMF/CF ROLES [...]

1 Introduction A Management Responsibilities Map supports the individual Statements of Responsibility (SoR) but is only required by enhanced firms. It provides [...]

FIRM TYPE DESCRIPTION Limited Scope Firm Firms that currently have a limited application of the APR, including: - limited permission consumer credit [...]

Certification Function CF Certificate [Insert Organisation Name] (‘we’ or ‘us’ or ‘our’) are committed to complying with the regulatory requirements set out [...]

Fitness and Propriety Assessment Record Assessor & Employee Details ASSESSOR NAME:   ASSESSMENT TYPE: First Assessment New Role Annual Certification Reassessment [...]