Step 03 / Your pack

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Core firms

Most solo-regulated FCA firms

You'll receive

  • 01 — Workbook (Excel)6 SMF functions, register, responsibility checks, certification, training, handover and a board summary
  • 02 — Statements of responsibilities and handover certificate (Word)A drafting template for each SMF function, with guidance, and a handover certificate.
  • 03 — Worked example workbook (Excel)The same workbook completed for an invented firm.
  • 04 — Worked example statements (Word)The statements and handover certificate completed for the same invented firm.
  • 05 — User guide (PDF)How to use the pack, with every rule explained and sourced.

No account needed. No payment. A practical starting point for your own SM&CR records, not a substitute for your own judgement or the FCA's form.

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