Strengthen your FCA compliance with the SMCR Checklist: an Excel-based tool designed for quick, thorough implementation or review of your Senior Managers and Certification Regime (SMCR) framework. This checklist ensures that every essential element of the regime—Senior Manager Regime, Certification Regime, and Conduct Rules—is covered in clear, industry-standard language.
What is the SMCR Checklist?
The SMCR Checklist provides an organised, project-ready format for tracking your firm’s SMCR compliance. With over 30 grouped items, it streamlines your project management by aligning each requirement with your implementation plan. Each checklist item includes a practical explanation of its purpose, giving you confidence in every step of the process.
Why Choose Our SMCR Checklist?
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Covers all three SMCR components: Senior Manager Regime, Certification Regime, Conduct Rules
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Grouped and colour-coded sections for fast alignment with your project
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Progress columns to monitor actions, responsible owners, and completion status, supporting a robust audit trail
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Plain language explanations make every requirement clear—even for non-specialists
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Developed using industry best practice and real compliance expertise
What’s Included in Your Download?
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30+ checklist items grouped by SMCR regime element
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Editable Excel file designed for sharing, record-keeping, and print
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Explanations beside every item for compliance clarity
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Columns for status, notes, and responsible person
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Built-in progress tracking for project management and audit readiness
Internal & Outbound Links
This checklist is based on our SMCR How to Guide. If you later upgrade to the full guide, we will discount the price you paid for the checklist.
For more news and insights on SMCR take a look at our resources.
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