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Senior Managers and Certification Regime: Forward planning

View profile for Amy Douthwaite

Operating within and preparing for the SMCR framework can be challenging and many of our clients are looking for guidance. If this is on your to-do list for 2017 we can help you to ease the burden:

 If you are already operating within the SMCR Framework, we can help you with:

  • Implementing processes to assess whether Certification Staff are “fit and proper”
  • Reviewing procedures for obtaining and providing regulatory references
  • Managing internal investigations and disciplinary hearings taking into account the new regime requirements
  • Reviewing template settlement agreements
  • Auditing your whistleblowing policies

If you are preparing for SMCR implementation in 2018, we can help you with:

  • Preparing your project plan and communications
  • Identifying Senior Managers and Certification Staff
  • Drafting the Management Responsibilities Map
  • Preparing Statements of Responsibility for Senior Managers
  • Training staff on Conduct Rules
  • Designing your certification process
  • Reviewing company handbooks, employment contracts and non-executive director appointment letters

If you would like to discuss how this affects your organisation, do contact a member of the Employment Team.