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Allen & Overy launches new online tool for implementing the FCA’s Senior Managers and Certification Regime


​Our online tool brings together the resources and information that firms need in order to implement the SMCR in a way which satisfies not only the FCA’s published rules and guidance, but also meets high standards of market practice.

The materials which are available through our online tool benefit from our extensive experience of advising a significant number of banks and building societies in relation to their implementation of the SMCR in 2016, as well as a wide range of post-implementation challenges they have been required to handle.

Our online tool contains over 50 template documents and guidance notes which will assist firms to implement the SMCR, including project planning tools, template compliance and employment policies, template regulatory documents, template employment documents and template training materials. The online tool is already being used by a number of FCA-only authorised firms as part of their implementation projects.

The below video provides an overview and demonstration of our online tool:

Our online tool provides firms with a valuable resource to assist with their SMCR implementation projects. Benefits for clients using our online tool include the following:

· Compliance and assurance: Our online tool allows firms to implement the SMCR in a way which complies with the FCA’s published requirements and guidance and also helps to ensure adherence to best market practice.

· Tried and tested: The contents of our online tool benefit from the significant amount of work we have undertaken in this area for banks and building societies. Many of the documents available through the online tool are ‘tried and tested’ as they have been used by a number of banks and building societies for over two years.

· Flexibility: Our template documents are designed in a way which allow firms to adapt them to suit their specific requirements, and we have provided guidance to firms in terms of how they may wish to do this.

· Cost efficiency: Subscription to our online tool is available for a one off fixed payment. To discuss the pricing of our online tool, please contact or one of the contacts listed to the right.

In addition to our online tool, we also offer bespoke advice to clients in relation to their implementation of the SMCR. This advice is charged for in addition to the one-off fee charged for accessing our online tool.

If you would like to discuss how we could help in relation to your firm’s SMCR implementation project or you would like more information about our online implementation tool, please contact or one of the contacts listed to the right.

Further information about our experience in relation to the SMCR is available here.




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