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.

Contact us
/en/services/financial-services-compliance-and-regulation/uk-compliance-services/smcr-consulting-and-implementation-support/smcr-toolkit /-/media/feature/services/financial-services-compliance-and-regulation/smcr-toolkit-desktop-banner.jpg service

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 joined Kroll in January 2015 from Kinetic Partners.
Jane Stoakes
Financial Services Compliance and Regulation

See all servicesStay Ahead with Kroll


Valuation of businesses, assets and alternative investments for financial reporting, tax and other purposes.

Compliance and Regulation

End-to-end governance, advisory and monitorship solutions to detect, mitigate and remediate security, legal, compliance and regulatory risk.

Corporate Finance and Restructuring

Middle Market M&A, Strategic Advisory, Debt Advisory and Private Capital Markets, Restructuring and Insolvency Services, Financial Due Diligence, Fairness Opinions, Solvency Opinions and ESOP/ERISA Advisory.

Cyber Risk

Incident response, digital forensics, breach notification, managed detection services, penetration testing, cyber assessments and advisory.

Environmental, Social and Governance

Advisory and technology solutions, including policies and procedures, screening and due diligence, disclosures and reporting and investigations, value creation, and monitoring.

Investigations and Disputes

World-wide expert services and tech-enabled advisory through all stages of diligence, forensic investigation, litigation, disputes and testimony.

Business Services

Expert provider of complex administrative solutions for capital events globally. Our services include claims and noticing administration, debt restructuring and liability management services, agency and trustee services and more.


FCA Publishes Priorities for 2019-2020

Apr 23, 2019

by Ian MansonJane Stoakes

Sales and Use Tax

Illinois Affordable Housing Special Assessment

Mar 31, 2023

by Joseph Minott

Sales and Use Tax

The Inevitable Cooling, Even Under the Texas Sun

Mar 31, 2023

by Justin Civitts

Sales and Use Tax

Mega Projects Driving the Creation of Mega Incentives

Mar 31, 2023

by Meegan Spicer