Step 02 / Explore the pack

See who holds what. See who owns each responsibility.

A visual view of the Enhanced scope firms edition before you open Excel. Choose a tab to explore the illustrative worked example.

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Enhanced scope firms

SMF responsibilities pack · illustrative example firm: Calder & Voss Capital Ltd

Change category
09
SMF managers

In the example

01
Without FCA approval

Flagged

00
Reviews overdue

At the as-at date

06
Certification employees

On the register

smf-responsibilities-pack-enhanced-workbook-worked-example.xlsxIllustrative data

Status as at 30 Oct 2026 · category: Enhanced

SMF managers without FCA approval: 1

  • SMF managers recorded

    9

  • Holding an approved SMF

    8

  • Without FCA approval

    1

  • Prescribed responsibilities allocated

    11

  • Responsibilities unallocated

    0

  • Responsibilities with two owners

    0

  • Business areas allocated

    24

  • Certification employees

    6

  • Training not recorded

    1

  • Handovers incomplete

    1

  • Invalid entries

    0

The board summary never says the firm is compliant. It names what is missing, overdue or unfinished.

See the actual workbook · real Excel sheets, rendered from the example file
Enhanced scope firms: One-page board summary of responsibilities (illustrative example)Board summary · opens full sizeEnhanced scope firms: SMF register with approval status and review dates (illustrative example)SMF register · opens full sizeEnhanced scope firms: Prescribed responsibility allocation matrix with one owner for each responsibility (illustrative example)Responsibilities · opens full sizeEnhanced scope firms: Certification register with annual fitness and propriety dates (illustrative example)Certification · opens full size

Built from the same data and formulas as the worked-example workbook, for an invented firm. Every name and date is invented.

About the Enhanced scope firms edition

Larger or more complex solo-regulated FCA firms that meet the enhanced scope tests in SYSC 23 Annex 1, or that the FCA has moved to enhanced scope. An enhanced scope firm has everything a core firm has, plus a management responsibilities map (SYSC 25), overall responsibility for each activity, business area and management function (SYSC 26) and handover procedures (SYSC 25.9). It has up to thirteen prescribed responsibilities and a longer list of SMFs.

Up to thirteen prescribed responsibilities can apply; five depend on the firm's circumstances.

The FCA does not set a template for the workbook sheets, and statements of responsibilities sent to the FCA must use its own form. This pack is a practical structure built on SUP 10C and SYSC 23 to 27. See the SM&CR guide, the SM&CR tool and the implementation checklist. This pack is for solo-regulated firms: dual-regulated firms, payment and e-money institutions and firms registered only under the Money Laundering Regulations are out of scope.