SMCR Extension Toolkit

What is SMCR Extension Toolkit?

Simmons & Simmons SMCR Extension Toolkit was developed in response to client demand for cost-effective, practical and user-friendly templates and guidance on how to comply with the extension of the Senior Managers and Certification Regime to all FCA regulated firms.

Cost-effective

The cost of the service reflects its value, in particular to smaller financial services firms, and the sharing of the benefits of scale with our clients.

To gain access to the toolkit and to find out more about pricing please contact us.


Templates and guidance

Designed to meet the needs of Management, Compliance, HR and Legal, the guidance and templates available cover the key regulatory and employment issues which are relevant for all firms having to comply with the Senior Managers and Certification Regime following its extension.

These include:

  • Mapping existing staff
  • Policies and processes
  • Documents (including templates)
  • Whistleblowing
  • References
  • Project plan
  • SMCR Library

This toolkit is aimed at meeting the needs of core and enhanced firms (including brokers, institutional asset managers and hedge fund managers) caught by the extended SMCR regime. Templates provided will require amendment to reflect the existing documents, policies, processes and structure of each firm. It should be of use to insurers and insurance brokers but does not address specific needs of these firms, on which separate advice should be sought.