We can offer a number of services to help firms implement the SM&CR or review clients SM&CR processes including:
- assistance allocating SMF functions;
- firm-wide governance reviews both pre and post implementation;
- review outputs from firms internal SM&CR projects;
- review of employment contracts in line with SMFs and certification functions;
- assistance in preparing the Fitness and Propriety Assessment;
- review of Fitness and Propriety Assessments in line with the FIT Handbook;
- SMF training;
- training for staff who could cause significant harm to an organisation;
- training on the Conduct Rules; and
- Internal Audit reviews of the firm’s SM&CR processes and structures.
For further information, please contact David Fenton, head of financial services.
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