Senior Managers and Certification Regime Toolkit

Our Toolkit helps firms implement the regulatory requirements of the Senior Managers and Certification Regime (SM&CR) and meet its objectives.

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Alongside our range of SM&CR advisory services and solutions, Kroll has developed our comprehensive and cost-effective toolkit to enable your firm to:

  • Manage your project planning for SM&CR implementation
  • Undertake a mapping exercise from the current Approved Persons Regime to SM&CR 
  • Prepare statements of responsibilities
  • Implement new procedures for SM&CR, including new joiner and leaver procedures for senior managers and certified individuals
  • Conduct fit and proper assessments 
  • Implement the certification process 
  • Provide guidance on relevant areas, such as the duty of responsibility for senior managers


Building and Embedding a Robust SM&CR Framework

Our toolkit covers all the requirements of SM&CR as well as practical guidance on how to apply SM&CR to your business.

  1. Design and Planning
    • Implementation guide
    • Implementation project plan enables firms to track implementation tasks and progress made and provides an audit trail of work done.
    • SM&CR mapping tool
  3. Implementation and Transition
    • Comprehensive SM&CR handbook providing guidance on all key aspects of the regime
    • Templates for implementation, including:
    • Responsibilities map
    • Statements of responsibilities
    • Initial fitness and propriety questionnaire and assessment
    • Record of senior manager reasonable steps
  4. Ongoing Compliance and Maintenance
    • SM&CR handbook
    • Templates for compliance and HR processes, including:
    • Annual fitness and propriety questionnaire
    • Annual fitness and propriety assessment
    • Checklist for joiners and leavers senior managers, non-SMF directors and certified staff
Connect with us
Connect with us
Mark Turner
Mark Turner
Managing Director
Financial Services Compliance and Regulation
Ian Manson
Ian Manson
Managing Director
Financial Services Compliance and Regulation
Jane Stoakes is a managing director at Duff & Phelps.
Jane Stoakes
Financial Services Compliance and Regulation

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