SMCR solution

Our SMCR solution helps you to meet regulatory requirements, raise standards and boost productivity while protecting against the risks of non-compliance.


Why use SMCR software solutions?

Our award-winning SMCR software has been designed to meet the needs of the Senior Managers & Certification Regime (SM&CR) and provides confidence that regulatory obligations are met.

Strong individual accountability is at the heart of SMCR, and the FCA and the PRA believe holding individuals to account is key to effective regulation. Using SMCR software solutions to manage accountability protects firms and senior managers against non-compliance, personal fines and reputational damage.

Ensure effective compliance

Reduce risk of failures and fines, deliver assurance for Executive and Non-Executive Directors, provide clear evidence of 'Reasonable Steps' for complete visibility of SMR.

Comprehensive and proactive governance and oversight

Strengthen Individual Accountability and effectively demonstrate compliance to the regulators through the SMCR programme.

Deliver efficiency and transparency

Define ownership and responsibility of cross-functional compliance and track everything in a comprehensive accountability trail.

Guarantee robust record keeping and version control

Keep tabs on your SMCR programme with complete version control and live change monitoring

Complete traceability and confidence that Individual Accountability Regime duties are met in a complete SMCR software solution.

Senior Managers Regime

Create and maintain Responsibilities Maps and Statements of Responsibilities (SoRs), validate compliance and record reasonable steps and handover processes.

Certification Regime

Conduct Fit and Proper and Competency Assessments, create and store Certificate records, track renewals and perform online competency testing.

Conduct Rules

Record and manage breaches and regulatory reporting, record role-specific training and make annual declarations.

FCA Directory Persons Data

Ensure Directory Reporting is consistent with FCA templates, maintain Directory Persons and their data and provide oversight that Directory Obligations are met in full.

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