SMCR Statement of Responsibilities & Certification Assessments Mortgage


  • Statement of Responsibility – Mortgage Broker – Word Document
  • Certificate Assessment – Mortgage Broker – Word Document
  • Record of Certification Template – Word Document
  • Record of Certification – Completed Example – Word Document

Senior Managers that are on the Financial Conduct Authority Register will need to have a Statement of Responsibilities.  We have therefore produced statements that are a single one page document detailing the responsibilities that are prescribed by the FCA along with examples of other responsibilities that you can choose, add or delete from.

Firms that fall under the Certification Regime will need to carry out an annual assessment to check and certify that individuals performing certain roles are suitable to do their job.  In this bundle you will find a template assessment and certificate to sign off a Mortgage Broker.  The forms are also suitable for an Equity Release Broker.  Please note, the assessments are not prescribed by the Financial Conduct Authority, therefore if you wish to add or remove any sections then you may do so.

FORMAT: All documents are downloadable via email upon receipt of payment.