SM&CR: how can we help

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. 

Navigate our microsite to find out more.