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Reducing the pain of SM&CR and other regulatory compliance

Most businesses have a legal obligation to track and report on key roles and responsibilities and ensure performance against these. The Actus Comply Module provides a fully integrated solution allowing businesses to track these responsibilities as part of their annual performance management activities, increasing buy-in and compliance and the value of both processes.

This module is particularly topical for financial services institutions looking to achieve compliance with the FCA‘s PS18/14 Policy extension replacing the Approved Persons Regime with the Senior Manager and Certification Regime (SM&CR) but is just as relevant for other industries who need to monitor and report on regulatory obligations e.g. Health and Safety; GDPR or Safeguarding. 

Read more about Actus SM&CR

Actus Comply provides greater visibility and accountability around governance by incorporating these activities into the performance management cycle. Equally, the annual performance appraisal is re-invigorated and given additional priority by this association.

Governance activities like SM&CR; Health and Safety or Safeguarding are too important to be treated as mere ‘tick box’ reporting exercises. To mitigate potential risk within your business, performance against the associated responsibilities and professional development requirements should be discussed and documented professionally as part of a consistent process. Actus Comply has been custom built to achieve this for you.

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

Integrated Benefits

  • 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

Administration & Reporting

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