Manage accountability throughout the firm, and comply with SMCR and conduct rules, through governance tools and frameworks that evolve as regulation and the business change. Streamline the management of fitness and propriety of senior managers and certified personnel with a transparent view of organisational structures, record keeping and management of statement of responsibilities.

Key features

Configuration of SMCR structures, Statement of Responsibility, Responsibility Maps

Define, manage and track organisational structures and committees, statement of responsibilities and responsibility maps. Company-wide progress can be monitored through dashboards, reminders can be set using alerts, e-mails can be automatically sent out to relevant parties.

Conduct Rules

Capture and track adoption of the new 2 tier conduct rule across the organisation alongside mapping senior managers to the relevant conduct rules. Staff can be notified of outstanding actions via e-mail, reminders and alerts can be set for time critical tasks, and regulatory forms can be automatically generated in preparation for submission.

Senior manager and certified personnel management

Drive accountability with SMCR’s suite of workflow tools and systemise how your organisation deals with handovers of responsibilities, delegation of tasks, recording temporary cover, completing fit & proper assessments, conduct attestations and Certification.

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Latest features

In a rapidly changing world, it can be hard to keep up with all the new features technology delivers. We simplify this by producing regular feature updates. Contact any of our business development or support team to find out more about how our platform helps you achieve Risk as Alpha.

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