SMF Submission Toolkit – Essential Templates for FCA SMF Applications

Preparing an SMF application shouldn't mean starting from scratch. The SMF Submission Toolkit gives you the core documents you need to demonstrate fitness and propriety and competence and capability to the FCA.

What's Included:

Instruction Guide

Condensed guidance covering FCA requirements, the six core competencies, due diligence essentials, and step-by-step instructions for completing each template.

SMF Competency Assessment Template

The cornerstone document for your application. Professionally formatted template covering personal details, SMF functions, qualifications, competence statement, fitness and propriety assessment, and all six FCA core competency areas.

Skills Gap Analysis Template

Structured template to assess your candidate against competency requirements and identify any development needs. Includes H/M/L rating system and training needs identification.

Statement of Responsibility Template

Internal document template supporting the Statement of Responsibility submitted via FCA Connect. Covers prescribed responsibilities, other responsibilities, and reporting lines.

Basic Excel Tracker

Simple checklist tracker to monitor application progress and ensure nothing is missed.

Who This Is For:

• Compliance Officers in established FCA-regulated firms
• Firms handling straightforward SMF appointments
• Teams who want quality templates without extensive guidance

Immediate Download

All templates are ready to customise with your firm's branding and candidate details.

Need More Comprehensive Support?

Consider upgrading to the SMF Submission Professional Pack (£449) for the full Master Guide, worked examples, 17 templates, and advanced tracking tools.

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