Individual Accountability Regime

Reduce harm to consumers and strengthen market integrity by making individuals more accountable for their conduct and competence. Establish healthy cultures and effective governance in firms by managing senior management, performing due diligence and training all team members.

Components

SMCR

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
  • Conduct Rules
  • Senior manager and certified personnel management
View all features

Enhanced Due Diligence

Enhanced Due Diligence enables firms to better understand online reputational risks and evidence compliance, supporting the mandatory due diligence requirements of a person’s honesty and integrity as part of the fit and proper assessment.

Key features

  • Detailed background checks
  • Ongoing monitoring
  • GDPR controls through privacy by design
View all features

SMCR Training

SMCR Training helps firms address their mandatory training requirements by ensuring individuals understand the fundamentals of the regulation. Team members can learn at their own pace through on-demand videos and handbooks constructed by subject matter experts and validated by industry practitioners.

Key features

  • Assessment based training
  • Record keeping
  • Overview of SMCR
View all features

Find out more

Ready to find out more about how our Individual Accountability Regime solutions can help you start your journey to leveraging Risk as Alpha? Get in touch with us by clicking the button below
Find out more