SM&CR Archives - Complyportal https://complyportal.uk/tag/smcr/ Fri, 14 Feb 2025 09:21:10 +0000 en-GB hourly 1 https://wordpress.org/?v=6.9.1 https://complyportal.uk/wp-content/uploads/2025/02/1cb60d6a-4d86-422b-ae02-1eb3f14631bc_b-100x100.png SM&CR Archives - Complyportal https://complyportal.uk/tag/smcr/ 32 32 IN DEPTH: How ComplyPortal can ensure your staff are always up to date https://complyportal.uk/in-depth-how-complyportal-can-ensure-your-staff-are-always-up-to-date/ Thu, 23 Jun 2022 08:56:03 +0000 https://stage.complyportal.uk/?p=14580 IN DEPTH: How ComplyPortal can ensure your staff are always up to date Find out how our Documents module can make your compliance management more efficient. It is becoming increasingly more challenging and time consuming to ensure all your employees are up to date with the latest policies and procedures at the heart of good Governance, Risk Management and Compliance. Organisations often ask employees to sign a policy acknowledgement form that they have reviewed and understood the company’s policies during the onboarding process. However, as policies get updated it is important that you inform employees of any changes and confirm their acknowledgment. Given today’s hybrid remote work environments, this is more challenging than ever. Time is money and chasing employees in different offices and remote work environments is no mean feat. With the world of financial regulation becoming more digital by the day, tracking acknowledgement through traditional methods like email is increasingly difficult or even impossible given the volume and complexity of business needs today. With ComplyPortal’s Documents module you can be sure your staff are accessing the latest document versions and you can set each document to be attestable by staff, giving you an easy-to-hand record of who has read what and when. Read on for more information about how ComplyPortal software makes managing and recording acknowledgements of critical policies and other business Documents much easier. Who is it for: Compliance Officers and all Staff Key features: Central repository for policies Control access to documents via permissioned groups Automatically archive previous versions of documents Set Attestation at the document level for employees to acknowledge policy Notifications and alerts Robust audit trail for ease of demonstrating compliance Straightforward layout and operation for ease of use How it benefits you: Provide staff with easy and controlled access to company and regulatory policies. Easily accessible, collect attestations, and keep archived record of previous versions and attestations in an organised central repository. This creates a clear and reportable audit trail of policies in place along with attestations records. Making company policies easily accessible helps ensure all staff are up to speed with regulations and what is required of them to create a culture of compliance throughout your whole organisation.   The Compliance Perspective: “The complexity of regulations and the pace at which they change seems to be constantly increasing which means organisation must ensure that their policies keep track of these changes and are updated, distributed, read, understood and applied by their staff. The trick is ensuring that staff operate from the one true policy source, not from various copies that they have stored on their hard drives or printed and kept in their drawer. With it being reported that 100% of the FCA final notices issued since 2020 involved criticisms to varying degrees of policies and/or procedures, the headache for organisations, Boards and Compliance Officers just intensifies. However, ComplyPortal’s Document module is here to help. By putting a system in place that helps each organisation ensure that it has document and version control and by use of the policy attestation function creating the peace of mind necessary for Boards and Compliance Officers alike, that each employee has read, acknowledged and expressed their understanding of those policies. At the same time, comfort can be taken that should it be required to do so, the organisation can readily demonstrate this to an external auditor or regulator.” Luis Parra– Director, Complyport   Find out more about our Documents module and the rest of the ComplyPortal platform at: https://complyportal.uk/modules    About ComplyPortal: First developed in 2011 by compliance professionals for compliance officers, ComplyPortal offers workflow, automation, and several modules to help firms with control and regulatory compliance monitoring. ComplyPortal simplifies financial services regulatory compliance management on an easy-to-use cloud-based comprehensive compliance platform. It enables compliance officers, risk officers and senior management to keep track of their firm’s regulatory responsibilities and workflows. Our platform includes the following modules, among others: Monitoring: a year-round schedule pre-populated with monitoring questionnaires to ease compliance processes. Registers: lists controlled by the Compliance officer, but easy for staff to view. Risk: map and control risk areas to effectively identify and manage risk for your firm. eKYC solution: perform comprehensive searches, including client identity verification, document authenticity, and more for a comprehensive KYC and AML approach  CLICK HERE TO GET STARTED!

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IN DEPTH: How ComplyPortal can ensure your staff are always up to date

Find out how our Documents module can make your compliance management more efficient.

It is becoming increasingly more challenging and time consuming to ensure all your employees are up to date with the latest policies and procedures at the heart of good Governance, Risk Management and Compliance.

Organisations often ask employees to sign a policy acknowledgement form that they have reviewed and understood the company’s policies during the onboarding process. However, as policies get updated it is important that you inform employees of any changes and confirm their acknowledgment.

Given today’s hybrid remote work environments, this is more challenging than ever. Time is money and chasing employees in different offices and remote work environments is no mean feat. With the world of financial regulation becoming more digital by the day, tracking acknowledgement through traditional methods like email is increasingly difficult or even impossible given the volume and complexity of business needs today.

With ComplyPortal’s Documents module you can be sure your staff are accessing the latest document versions and you can set each document to be attestable by staff, giving you an easy-to-hand record of who has read what and when.

Read on for more information about how ComplyPortal software makes managing and recording acknowledgements of critical policies and other business Documents much easier.

Who is it for: Compliance Officers and all Staff

Key features:

  • Central repository for policies
  • Control access to documents via permissioned groups
  • Automatically archive previous versions of documents
  • Set Attestation at the document level for employees to acknowledge policy
  • Notifications and alerts
  • Robust audit trail for ease of demonstrating compliance
  • Straightforward layout and operation for ease of use

How it benefits you:

Provide staff with easy and controlled access to company and regulatory policies. Easily accessible, collect attestations, and keep archived record of previous versions and attestations in an organised central repository. This creates a clear and reportable audit trail of policies in place along with attestations records. Making company policies easily accessible helps ensure all staff are up to speed with regulations and what is required of them to create a culture of compliance throughout your whole organisation.

 

The Compliance Perspective:

“The complexity of regulations and the pace at which they change seems to be constantly increasing which means organisation must ensure that their policies keep track of these changes and are updated, distributed, read, understood and applied by their staff. The trick is ensuring that staff operate from the one true policy source, not from various copies that they have stored on their hard drives or printed and kept in their drawer.

With it being reported that 100% of the FCA final notices issued since 2020 involved criticisms to varying degrees of policies and/or procedures, the headache for organisations, Boards and Compliance Officers just intensifies. However, ComplyPortal’s Document module is here to help.

By putting a system in place that helps each organisation ensure that it has document and version control and by use of the policy attestation function creating the peace of mind necessary for Boards and Compliance Officers alike, that each employee has read, acknowledged and expressed their understanding of those policies. At the same time, comfort can be taken that should it be required to do so, the organisation can readily demonstrate this to an external auditor or regulator.”

Luis Parra– Director, Complyport

 

Find out more about our Documents module and the rest of the ComplyPortal platform at: https://complyportal.uk/modules

 
 

About ComplyPortal:

First developed in 2011 by compliance professionals for compliance officers, ComplyPortal offers workflow, automation, and several modules to help firms with control and regulatory compliance monitoring.

ComplyPortal simplifies financial services regulatory compliance management on an easy-to-use cloud-based comprehensive compliance platform. It enables compliance officers, risk officers and senior management to keep track of their firm’s regulatory responsibilities and workflows. Our platform includes the following modules, among others:

  • Monitoring: a year-round schedule pre-populated with monitoring questionnaires to ease compliance processes.
  • Registers: lists controlled by the Compliance officer, but easy for staff to view.
  • Risk: map and control risk areas to effectively identify and manage risk for your firm.
  • eKYC solution: perform comprehensive searches, including client identity verification, document authenticity, and more for a comprehensive KYC and AML approach
 
CLICK HERE TO GET STARTED!

The post IN DEPTH: How ComplyPortal can ensure your staff are always up to date appeared first on Complyportal.

]]> The Kalifa Review https://complyportal.uk/the-kalifa-review/ Tue, 08 Mar 2022 09:42:39 +0000 https://stage.complyportal.uk/?p=14611 The Kalifa Review After the first anniversary of the landmark review into UK fintech, what has changed in the industry—and what do firms need to know now? According to Ron Kalifa OBE, fintech is “a permanent, technological revolution”.  This, contained in his preface to the Kalifa Review of UK Fintech, explains in a nutshell why so much attention is being paid to this area of financial services. Financial services is often seen as a crown jewel in the UK economy, so it’s no wonder that one year ago we saw the results of a government-commissioned independent review into how to grow and develop the fast-growing fintech landscape. The Kalifa Review: Key Points The review recommends a 5-point delivery and action plan in the following areas:   Policy and Regulation: “dynamic leadership that protects consumers yet nurtures fintech activity and encourages competition” Skills: “ensuring fintech has a sufficient supply of domestic and international talent and the means to train and upskill our current and future workforce” Investment: “completing the funding ladder from start-ups right through to IPO” International: “a targeted approach to exports and inward investment” National Connectivity: “leveraging the output of fintechs across the UK and facilitating connectivity amongst them”    Each of these is expanded upon with action and policy recommendations laid out in the executive summary and full report, from shaking up the way the Competition and Markets Authority (CMA) works to creating a Centre for Finance, Innovation and Technology (CFIT) and examining the implications AI has on regulations. From point to point, the message is clear: the UK wants to encourage growth, innovation, and access to hold onto its crown as a global leader in fintech. While much of the report focuses on growing businesses through access to things like talent and funding, Supervisory technology (‘suptech’) is a new subset of fintech that regulated firms should be aware of regardless of their area of activity. On the other side of the technological development that the review aims to encourage are increased abilities and expectations on the part of regulators and supervisory bodies. Where other areas of fintech help individual consumers and businesses to conduct financial-related business and regulated activities more efficiently, suptech offers similar functions for regulators. Technological developments mean that regulators can be more powerful and efficient than ever in their oversight of regulated firms—and compliance professionals are increasingly turning to regulatory technology solutions so that they can keep up. With the triple threats of the covid-19 pandemic, a murky post-Brexit regulatory future, looming international competition, and ongoing developments in the cryptoasset space, industry leaders are keen to act swiftly in order to protect and develop the strength of fintech in the UK. In fact, Innovate Finance recently published an open letter signed by over 70 leading UK fintech companies calling for updated regulations to help progress the industry. It looks like while the Kalifa review is a detailed starting point, more needs to be done to advance UK fintech—and regulated firms must take care to evolve in tandem to stay on top of their compliance obligations.   Discover how ComplyPortal can help you adapt to new and future challenges at: https://complyportal.uk/modules    About ComplyPortal: First developed in 2011 by compliance professionals for compliance officers, ComplyPortal offers workflow, automation, and several modules to help firms with control and regulatory compliance monitoring. ComplyPortal simplifies financial services regulatory compliance management on an easy-to-use cloud-based comprehensive compliance platform. It enables compliance officers, risk officers and senior management to keep track of their firm’s regulatory responsibilities and workflows. Our platform includes the following modules, among others: Monitoring: a year-round schedule pre-populated with monitoring questionnaires to ease compliance processes. Registers: lists controlled by the Compliance officer, but easy for staff to view. Risk: map and control risk areas to effectively identify and manage risk for your firm. eKYC solution: perform comprehensive searches, including client identity verification, document authenticity, and more for a comprehensive KYC and AML approach  CLICK HERE TO GET STARTED! 

The post The Kalifa Review appeared first on Complyportal.

]]>

The Kalifa Review

After the first anniversary of the landmark review into UK fintech, what has changed in the industry—and what do firms need to know now?

According to Ron Kalifa OBE, fintech is “a permanent, technological revolution”.  This, contained in his preface to the Kalifa Review of UK Fintech, explains in a nutshell why so much attention is being paid to this area of financial services. Financial services is often seen as a crown jewel in the UK economy, so it’s no wonder that one year ago we saw the results of a government-commissioned independent review into how to grow and develop the fast-growing fintech landscape.

The Kalifa Review: Key Points

The review recommends a 5-point delivery and action plan in the following areas:

 
  • Policy and Regulation: “dynamic leadership that protects consumers yet nurtures fintech activity and encourages competition”
  • Skills: “ensuring fintech has a sufficient supply of domestic and international talent and the means to train and upskill our current and future workforce”
  • Investment: “completing the funding ladder from start-ups right through to IPO”
  • International: “a targeted approach to exports and inward investment”
  • National Connectivity: “leveraging the output of fintechs across the UK and facilitating connectivity amongst them”
 
 

Each of these is expanded upon with action and policy recommendations laid out in the executive summary and full report, from shaking up the way the Competition and Markets Authority (CMA) works to creating a Centre for Finance, Innovation and Technology (CFIT) and examining the implications AI has on regulations. From point to point, the message is clear: the UK wants to encourage growth, innovation, and access to hold onto its crown as a global leader in fintech.

While much of the report focuses on growing businesses through access to things like talent and funding, Supervisory technology (‘suptech’) is a new subset of fintech that regulated firms should be aware of regardless of their area of activity. On the other side of the technological development that the review aims to encourage are increased abilities and expectations on the part of regulators and supervisory bodies.

Where other areas of fintech help individual consumers and businesses to conduct financial-related business and regulated activities more efficiently, suptech offers similar functions for regulators. Technological developments mean that regulators can be more powerful and efficient than ever in their oversight of regulated firms—and compliance professionals are increasingly turning to regulatory technology solutions so that they can keep up.

With the triple threats of the covid-19 pandemic, a murky post-Brexit regulatory future, looming international competition, and ongoing developments in the cryptoasset space, industry leaders are keen to act swiftly in order to protect and develop the strength of fintech in the UK. In fact, Innovate Finance recently published an open letter signed by over 70 leading UK fintech companies calling for updated regulations to help progress the industry. It looks like while the Kalifa review is a detailed starting point, more needs to be done to advance UK fintech—and regulated firms must take care to evolve in tandem to stay on top of their compliance obligations.

 

Discover how ComplyPortal can help you adapt to new and future challenges at: https://complyportal.uk/modules

 
 

About ComplyPortal:

First developed in 2011 by compliance professionals for compliance officers, ComplyPortal offers workflow, automation, and several modules to help firms with control and regulatory compliance monitoring.

ComplyPortal simplifies financial services regulatory compliance management on an easy-to-use cloud-based comprehensive compliance platform. It enables compliance officers, risk officers and senior management to keep track of their firm’s regulatory responsibilities and workflows. Our platform includes the following modules, among others:

  • Monitoring: a year-round schedule pre-populated with monitoring questionnaires to ease compliance processes.
  • Registers: lists controlled by the Compliance officer, but easy for staff to view.
  • Risk: map and control risk areas to effectively identify and manage risk for your firm.
  • eKYC solution: perform comprehensive searches, including client identity verification, document authenticity, and more for a comprehensive KYC and AML approach
 
CLICK HERE TO GET STARTED!
 

The post The Kalifa Review appeared first on Complyportal.

]]> In Depth: SM&CR https://complyportal.uk/in-depth-smcr/ Sat, 01 Jan 2022 09:56:09 +0000 https://stage.complyportal.uk/?p=14645 In Depth: SM&CR Help maintain accountability within your firm and manage SMCR responsibilities more efficiently. Accountability, company culture, and governance are three essential elements that regulated firms must monitor. The Senior Managers and Certification Regime (SMCR) provides a framework for firms to do so throughout their organisation, from Senior Managers themselves to general members of staff. In practice, this means that firms must regularly assess their Senior Managers and employees with other roles that could “cause significant harm to the firm or its customers” for their suitability, monitor compliance and good conduct across all staff, and be able to demonstrate these activities to the regulator. Digital tools like ComplyPortal’s SM&CR module help firms allocate each of the FCA-prescribed senior management responsibilities to a Senior Manager. Senior Management Functions (SMFs) can easily be assigned to Senior Managers to view and accept their assigned responsibilities. ComplyPortal provides a systematic method to track assignment and transfer of individual accountability to better maintain oversight and ensure their firms remain accountable and properly governed. Who is it for: Compliance Officers and Senior Managers Key features: Create thorough audit trails to demonstrate compliance Assign Senior Managers to SMF responsibilities Manage responsibilities for Senior Managers and Certified Individuals Transfer responsibilities to new individuals Provide Senior Managers with oversight and ability to monitor their area of responsibility How it benefits you: Using a compliance management tool like the SM&CR module simplifies processes of accountability within regulated firms. The ability to assign Senior Management Function (SMF) responsibilities to individuals who can then approve and accept these provides firms with clear record of accountability and governance. Additionally, the module also offers functionality for a Fitness and Propriety questionnaire to support regular assessments of whether or not relevant Senior Managers and Certified Individuals are “fit and proper” for their roles. All available actions produce clear audit trails to demonstrate approvals and responsibilities to the regulator, bringing welcome ease to Senior Managers juggling multiple responsibilities.   The Compliance Perspective:   “While compliance management is often a complex undertaking, managing SMCR compliance does not have to be. Streamlining and centralising processes such as SMF and prescribed responsibilities allocations through dedicated software—instead of, for example, using assorted spreadsheets shared with staff—offers welcome simplicity and security for compliance officers. This is especially valuable in the new world of work as companies increasingly adopt flexible, hybrid, or fully remote-working practices where reporting lines and responsibilities can become blurred. Staff can be kept up to date with current allocations and their approvals and acceptances can be tracked and recorded regardless of where they work.” – Simon Chapman, Associate Director at Complyport   Find out more about our SM&CR module and the rest of the ComplyPortal platform at: https://complyportal.uk/modules    About ComplyPortal: First developed in 2011 by compliance professionals for compliance officers, ComplyPortal offers workflow, automation, and several modules to help firms with control and regulatory compliance monitoring. ComplyPortal simplifies financial services regulatory compliance management on an easy-to-use cloud-based comprehensive compliance platform. It enables compliance officers, risk officers and senior management to keep track of their firm’s regulatory responsibilities and workflows. Our platform includes the following modules, among others: Monitoring: a year-round schedule pre-populated with monitoring questionnaires to ease compliance processes. Registers: lists controlled by the Compliance officer, but easy for staff to view. Risk: map and control risk areas to effectively identify and manage risk for your firm. eKYC solution: perform comprehensive searches, including client identity verification, document authenticity, and more for a comprehensive KYC and AML approach  CLICK HERE TO GET STARTED!     

The post In Depth: SM&CR appeared first on Complyportal.

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In Depth: SM&CR

Help maintain accountability within your firm and manage SMCR responsibilities more efficiently.

Accountability, company culture, and governance are three essential elements that regulated firms must monitor. The Senior Managers and Certification Regime (SMCR) provides a framework for firms to do so throughout their organisation, from Senior Managers themselves to general members of staff. In practice, this means that firms must regularly assess their Senior Managers and employees with other roles that could “cause significant harm to the firm or its customers” for their suitability, monitor compliance and good conduct across all staff, and be able to demonstrate these activities to the regulator.

Digital tools like ComplyPortal’s SM&CR module help firms allocate each of the FCA-prescribed senior management responsibilities to a Senior Manager. Senior Management Functions (SMFs) can easily be assigned to Senior Managers to view and accept their assigned responsibilities. ComplyPortal provides a systematic method to track assignment and transfer of individual accountability to better maintain oversight and ensure their firms remain accountable and properly governed.

Who is it for: Compliance Officers and Senior Managers

Key features:

  • Create thorough audit trails to demonstrate compliance
  • Assign Senior Managers to SMF responsibilities
  • Manage responsibilities for Senior Managers and Certified Individuals
  • Transfer responsibilities to new individuals
  • Provide Senior Managers with oversight and ability to monitor their area of responsibility

How it benefits you:

Using a compliance management tool like the SM&CR module simplifies processes of accountability within regulated firms. The ability to assign Senior Management Function (SMF) responsibilities to individuals who can then approve and accept these provides firms with clear record of accountability and governance. Additionally, the module also offers functionality for a Fitness and Propriety questionnaire to support regular assessments of whether or not relevant Senior Managers and Certified Individuals are “fit and proper” for their roles. All available actions produce clear audit trails to demonstrate approvals and responsibilities to the regulator, bringing welcome ease to Senior Managers juggling multiple responsibilities.

 

The Compliance Perspective:

 

“While compliance management is often a complex undertaking, managing SMCR compliance does not have to be. Streamlining and centralising processes such as SMF and prescribed responsibilities allocations through dedicated software—instead of, for example, using assorted spreadsheets shared with staff—offers welcome simplicity and security for compliance officers.

This is especially valuable in the new world of work as companies increasingly adopt flexible, hybrid, or fully remote-working practices where reporting lines and responsibilities can become blurred. Staff can be kept up to date with current allocations and their approvals and acceptances can be tracked and recorded regardless of where they work.” – Simon Chapman, Associate Director at Complyport

 

Find out more about our SM&CR module and the rest of the ComplyPortal platform at: https://complyportal.uk/modules

 
 

About ComplyPortal:

First developed in 2011 by compliance professionals for compliance officers, ComplyPortal offers workflow, automation, and several modules to help firms with control and regulatory compliance monitoring.

ComplyPortal simplifies financial services regulatory compliance management on an easy-to-use cloud-based comprehensive compliance platform. It enables compliance officers, risk officers and senior management to keep track of their firm’s regulatory responsibilities and workflows. Our platform includes the following modules, among others:

  • Monitoring: a year-round schedule pre-populated with monitoring questionnaires to ease compliance processes.
  • Registers: lists controlled by the Compliance officer, but easy for staff to view.
  • Risk: map and control risk areas to effectively identify and manage risk for your firm.
  • eKYC solution: perform comprehensive searches, including client identity verification, document authenticity, and more for a comprehensive KYC and AML approach
 
CLICK HERE TO GET STARTED!
 

 

 

The post In Depth: SM&CR appeared first on Complyportal.

]]> SM&CR as Core https://complyportal.uk/smcr-as-core/ Fri, 26 Feb 2021 12:33:00 +0000 https://stage.complyportal.uk/?p=14864 SM&CR as Core We have now made the SM&CR module available to all ComplyPortal users. Set, allocate, and transfer in or out responsibilities for individuals to create an automatic Statement of Responsibilities. Keep track of breaches and committee memberships with full audit trails for reports. About ComplyPortal: First developed in 2011 by compliance professionals for compliance officers, ComplyPortal offers workflow, automation, and several modules to help firms with control and regulatory compliance monitoring. ComplyPortal simplifies financial services regulatory compliance management on an easy-to-use cloud-based comprehensive compliance platform. It enables compliance officers, risk officers and senior management to keep track of their firm’s regulatory responsibilities and workflows. Our platform includes the following modules, among others: Monitoring: a year-round schedule pre-populated with monitoring questionnaires to ease compliance processes. Registers: lists controlled by the Compliance officer, but easy for staff to view. Risk: map and control risk areas to effectively identify and manage risk for your firm. eKYC solution: perform comprehensive searches, including client identity verification, document authenticity, and more for a comprehensive KYC and AML approach CLICK HERE TO GET STARTED! Related Posts SM&CR as Core SM&CR as Core We have now made the SM&CR module available to all ComplyPortal users. Set, allocate,… Learn more Compliance technology helps companies navigate regulation in the age of “WFH” Compliance technology helps companies navigate regulation in the age of “WFH” Compliance officers and senior… Learn more New Compliance Monitoring System for CIFs New Compliance Monitoring System for CIFs We are delighted to let you know about our… Learn more

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SM&CR as Core

We have now made the SM&CR module available to all ComplyPortal users. Set, allocate, and transfer in or out responsibilities for individuals to create an automatic Statement of Responsibilities.

Keep track of breaches and committee memberships with full audit trails for reports.

About ComplyPortal:

First developed in 2011 by compliance professionals for compliance officers, ComplyPortal offers workflow, automation, and several modules to help firms with control and regulatory compliance monitoring.

ComplyPortal simplifies financial services regulatory compliance management on an easy-to-use cloud-based comprehensive compliance platform. It enables compliance officers, risk officers and senior management to keep track of their firm’s regulatory responsibilities and workflows. Our platform includes the following modules, among others:

  • Monitoring: a year-round schedule pre-populated with monitoring questionnaires to ease compliance processes.
  • Registers: lists controlled by the Compliance officer, but easy for staff to view.
  • Risk: map and control risk areas to effectively identify and manage risk for your firm.
  • eKYC solution: perform comprehensive searches, including client identity verification, document authenticity, and more for a comprehensive KYC and AML approach

CLICK HERE TO GET STARTED!

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