Hogan Lovells

Senior Managers and
Certification Regime Toolkit

For FCA Solo-Regulated Firms

From December 2019, the regime will be extended to cover all regulated financial firms.

Our fixed fee toolkit packages offer a seamless approach to SMCR, combining the expertise of our financial services regulatory legal and consulting teams.

We offer a cohesive value-driven approach that gets you where you need to be. Contact us now for full details including package options and associated prices

Roadmap

SMCR Roadmap

Navigate the regime using our detailed SMCR roadmap, including key requirements, actions and dates.

Responsibilities Map

Responsibilities Map/Statements of Responsibilities

Mapping the responsibilities within your organisation and helping you produce required documentation for the regime.

Project plan<

Project Plan

Manage key actions, deliverables and interdependencies using our interactive SMCR project plan.

Guidance Notes

Guidance Notes

Implement the regime using our detailed legal guidance notes on mapping senior management functions and responsibilities, the certification regime and the conduct rules.

Templates

Templates

Simplify the implementation process with a range of template policies and other documents.

Training slides

Training Slides

Up-skill your internal teams on the regime with our training materials.

Training slides

Added Support

Our helpline and document review add-on services give peace of mind that your implementation project is on track.

A Seamless Approach
to SMCR

Our team has experience advising a range of authorised entities in this area, including on the extension of the SMCR specifically. We can provide practical guidance on implementation for your firm, and insight into market-standard practices.

We are able to flexibly support you to reflect your firm’s business needs: from running your entire implementation project using a mix of our legal and consulting offering, providing legal advice on the key requirements for you to implement, or via our SMCR Toolkit to help you implement your own project.

Click the links below for our client note on the SMCR and how we can help, and to see our short form template project plan which summarises our suggested approach to implementation.

We can also run your implementation project using our joint legal and consulting offering.

We can also run your implementation project using our joint legal and consulting offering.

SMCR legal / consulting approach

Core Team

Michael Thomas

Partner, Financial Services
Regulatory, London
michael.thomas@hoganlovells.com


Caroline Walters

Director, Financial Services
Regulatory Consulting, London
caroline.walters@hoganlovells.com

Anahita Patwardhan

Senior Associate, Financial Services
Regulatory, London
anahita.patwardhan@hoganlovells.com

We are also able to put you in touch with our specialist employment and enforcement teams who work closely with the Core Team on the SMCR.