Senior Managers & Certification Regime

The aim of the Senior Managers and Certification Regime (SM&CR) is to create individual accountability to encourage everyone, including staff to take personal responsibility for their actions.

At Ecompli, we have been delivering training sessions on the SM&CR, which we will continue to do so, so that firms understand exactly what the changes are. We have also produced a SM&CR Manual that firms can circulate to staff to read, which can count towards their CPD. In addition, we have produced a range of other templates including a Statement of Responsibilities, Certification Assessments and Certificates that Brokers can use. We like to help firms as much as we can. After reading over 2,000 pages of Consultation and Policy Papers, we believe we can do just that.

Our manual focuses on each of the above along with providing guidance on what a firm needs to have in place to meet the rules.  The manual is set out in an easy to understand format which explains the FCA terms and who they apply to.  Anyone that is experienced or new to the Senior Managers and Certification Regime should find this a useful manual on what is required of them.

You can purchase now or join our member’s club and gain access to all our documents, manuals, policies and templates.

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.

You can purchase now or join our member’s club and gain access to all our documents, manuals, policies and templates.

This Statement of Responsibility is designed specifically for Insurance Brokers to assist them with the requirements under the Senior Managers and Certification Regime.  This document is a simple template that firms can easily use and implement within business.

You can purchase now or join our member’s club and gain access to all our documents, manuals, policies and templates.

This Statement of Responsibility is designed specifically for Equity Release Brokers to assist them with the requirements under the Senior Managers and Certification Regime.  This document is a simple template that firms can easily use and implement within business.

You can purchase now or join our member’s club and gain access to all our documents, manuals, policies and templates.

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