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Delivering Effective Affordable SMCR Assurance

The clock is ticking towards the SMCR deadline of 9th December 2019 for solo regulated firms and this is just the tip of the iceberg. With the shift in responsibility moving from the firm to the individual, there is no wonder that senior managers and compliance leads are becoming anxious about the levels of personal liability involved.

Spreadsheets and manual control mechanisms don’t provide the visibility or audit trail to meet the FCA’s expectation of being able to demonstrate a solid SM&CR control process. Firms are also realising that managing Certification and Conduct using paper-based systems is never going to work. Compliance software aimed at the banking sector is excessively sized and priced for solo regulated firms who need an affordable and reliable SMCR solution.

Simple, Purpose-built Software

Actus Comply eliminates these concerns with a simple, but highly effective SMCR solution. We have a purpose-built SMCR module for assigning and tracking responsibilities with a full audit trail; clear reporting and a host of value-add features. Actus Comply also offers CPD; Certification and Conduct management for the whole firm.

You can be confident that Actus Comply will meet your needs as it has been developed in partnership with FCA experts and Financial Services firms like yours. Our experienced team will support you through implementation and beyond. Clients also benefit from access to our thriving SMCR focus group and community where HR and Compliance leads from different firms collaborate on best practice.

There are three Actus Comply options available to you:

  • Actus Essential SM&CR – A pure SMR assignment, tracking and reporting tool appropriate to your classification
  • Actus Absolute SM&CR All of the above, plus Certification; Conduct and CPD just for Senior Managers or the whole firm
  • Actus SM&CR; Performance & Talent – A fully integrated SM&CR solution as well as full performance management and feedback functionality providing a ‘One Stop Shop’ for all your SM&CR, Performance & Talent Management requirements.

Actus Comply was designed in partnership with clients in the financial services industry to specifically meet the needs of the Senior Managers & Certification Regime providing the accountability, visibility and reporting that is required to ensure that regulatory compliance can be demonstrated with confidence.

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Actus Comply was designed in partnership with the Financial Services Industry to support SM&CR requirements and is equally relevant for other industries with regulatory obligations.

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Actus Comply Features

SM&CR Specific

  • Allocate and map SMR roles and statement of responsibilities (SORS)
  • Ability to delegate and track associated responsibilities without abdication
  • Configure and allocate role related responsibilities e.g. committee memberships
  • Freedom to set up and manage additional projects and responsibilities

CPD; Certification & Conduct

  • Freedom to integrate conduct and competence sign off into the annual appraisal
  • Recording of role-specific training and qualifications with automated alerts of expiry
  • Continuous Professional Development (CPD) tracking and reporting
  • Gather feedback and attach supporting evidence throughout the year against the employee record

Evidence of Assurance

  • Appropriate Controls and Measures with FCA ready reporting
  • Automatic compliance validation
  • Breach recording and management
  • Automated Certificate production and storage
  • Responsibilities map and real-time reporting
  • Full audit trail