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Out of the box, Corterum provides all the tools and solutions you need to effectively manage compliance. Your business and staff data is stored in datasets that can be easily updated and changes viewed over time.
Out of the box, Corterum provides all the tools and solutions you need to effectively manage compliance. Your business and staff data is stored in datasets that can be easily updated and changes viewed over time.
Maintaining SM&CR compliance requires actions to be taken over time, with specific dates and triggers, such as Senior Manager Conduct Rules breaches being notified to the FCA within seven business days. Corterum’s suite of tasks and workflows make staying on top of deadlines a breeze.
Maintaining SM&CR compliance requires actions to be taken over time, with specific dates and triggers, such as Senior Manager Conduct Rules breaches being notified to the FCA within seven business days. Corterum’s suite of tasks and workflows make staying on top of deadlines a breeze.
Compliance with the SM&CR is an ongoing job, and it requires the completion, recording and evidencing of tasks over time. As things in your business change, you’ll need to plan and capture those changes in order to remain compliant.
Compliance with the SM&CR is an ongoing job, and it requires the completion, recording and evidencing of tasks over time. As things in your business change, you’ll need to plan and capture those changes in order to remain compliant.
Whether managing the completion of fit and proper testing, producing Statements of Responsibilities, obtaining attestations from staff, managing regulatory references, submitting FCA Directory data or providing a home for Senior Managers to record their decisions, Corterum makes it easy – saving you time and money and putting you on the right track to SM&CR compliance.
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There are tech solutions out there, but many are expensive – being aimed at banks and enhanced firms. They come with a price tag that most firms can’t justify. That leaves many firms looking at manual approaches to managing SM&CR data – often based on Excel and Word. These solutions can work, but they have obvious limitations and also tend to be much more time intensive.
The Consumer Duty is designed to better protect consumers from harm by ensuring that financial products and services are fit for purpose, offer fair value and help customers make effective choices.
To help you better understand Consumer Duty, we’ve create a comprehensive guide which you can download here:
New to SMCR? This guide will help you understand and implement every part of the SM&CR, including:
The requirement to perform fit and proper testing on both Senior Managers and Certification Employees forms a key plank of the Senior Managers and Certification Regime (the “SM&CR”).
Despite its central importance, there is not a lot of information in the public domain as to what a robust fit and proper assessment process should actually look like. In creating this guide, we have tried to fill that gap – answering some of the key questions that clients typically ask us in this area.
We’ve worked with some of the UK’s leading pre-paid funeral plan providers to make their compliance efforts simpler, and more productive.
Download our guide to SMCR implementation for funeral plan providers to find out more
If your firm is regulated in any way by the FCA, the SMCR applies to you.
You could. However, particularly if you’re part of a large firm, the quantity of information you have to manage can become difficult to manage.
In order to ensure your firm is fully compliant with the regime, we strongly recommend that you should have an SMCR solution in place.
We have a number of pricing tiers, which you can see here.
Even if you’re a very small firm, Corterum can still help! Many of our features are even available for free for firms with up to 20 users.
No! Your Corterum plan is a 30-day rolling subscription, so you can pause or cancel your subscription without incurring cancellation fees.
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