SM&CR System

Take control with our simple to use application that reduces the cost and administrative burden of managing your obligations under the Senior Managers and Certification Regime (SM&CR).
Automated workflow processes keep you on track and identifies gaps in your compliance. Get the documents you need from responsibilities maps to certificates and regulatory reference information. Use the interactive dashboards to see your status and produce reports.

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Key features

Assign functions and responsibilities

Actively track, record and manage the status of regulatory responsibilities for all staff.

Produce Statement of Responsibilities

Report on staff responsibilities, and assign those unallocated to ensure compliance.

Record Conduct Rules training and breaches

Record details of Conduct Rules training and document any breaches on employee profiles.

Record fitness and propriety assessments

Demonstrate assessments are up to date and allocated staff are fit and proper.

Audit trails and historical reporting

Full tracking of all activities and ability to report on historical compliance status at any time.

Management reporting and dashboards

Comprehensive reporting and high level dashboards to monitor compliance status.

Activity reminders and alerts

Notifications of outstanding actions so you never miss a task.

Reasonable steps reporting

Allows SMFs to document steps taken to stop breaches occurring in responsibility areas.

Produce responsibilities map

Generate responsibilities maps for all SMFs, with job titles/descriptions as required.

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Manage SM&CR from one central place

  • Tools to manage all components of your SM&CR compliance.
  • Information stored for staff across your entire organisation in one place.
  • Track and record key dates or changes to your regime quickly and effectively.
  • Tasks and reminders ensure you don't have any gaps.
  • Access reports for the board, risk committee and, if needed, the FCA and other regulators at the touch of a button.

There's a better way

Modernise your compliance management with a single, shared and integrated cloud-based solution. Specifically designed for firms that offer regulated financial services and in sectors that include Asset Management, Banking, Capital Markets, Consumer Credit, Corporate Finance, Fintech, Insurance, Investment Management, Payment Services, Private Equity, Venture Capital and Wealth Management.

Enhanced governance

Stronger governance

Complete transparency and visibility of your compliance management, enhancing the ways in which you think about, identify, and manage your regulatory risk.

EVIDENCE COMPLIANCE

Evidences your compliance

My Compliance Centre offers a complete audit trail so that you can easily evidence your compliance to your board and, if they were to ask, the regulators.

achieve more

Increases confidence

Get a bird's eye view or drill down into the detail. With this information at your fingertips, you can be confident that you are on top of everything.

REDUCES RISK

Reduces compliance risk

Ensures your compliance framework keeps pace with regulatory developments. Gives you visibility of all scheduled and ad-hoc tasks and remedial activities.

Single source

Single source of truth

One integrated platform so you can be sure to find the information you need, when you need it, without any fuss or version control confusion.

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