SMF Submission Professional Pack – The Complete Framework for FCA Approval

Based on our methodology that achieved a 12-working-day approval with zero FCA questions in January 2026, this comprehensive pack provides everything you need to prepare SMF applications that stand out for the right reasons.

What's Included:

Master Instruction Guide (50+ pages)

Comprehensive guidance with full FCA regulatory rationale. Understand not just what to include, but why the FCA requires it. Covers the legal framework, fitness and propriety requirements, the six core competencies in detail, application timeline management, and document-by-document completion guidance.

17 Professional Templates:

Core Assessment Documents:

• SMF Competency Assessment Template
• SMF Competency Assessment – Completed Example
• Skills Gap Analysis Template
• Learning and Development Plan Template
• Statement of Responsibility Template

Due Diligence Documents:

• Regulatory Reference Request Template
• DBS and Credit Check Process Note
• CV Requirements Checklist
• Conflict of Interest Declaration

Governance Documents:

• Board Resolution Template
• SMF Induction Programme Template
• Handover Arrangements Template

Reference Materials:

• Quick Reference Flowchart
• Common Rejection Reasons Guide
• Recent Client Success Case Study

Advanced Excel Tracker

Timeline management tool with automated date calculations, RAG status indicators, document version control, multi-SMF tracking capability, and due diligence monitoring.

Recent Client Success Case Study

Real-world example showing how our methodology achieved approval in just 12 working days with zero questions from the FCA – during the Christmas period.

The Difference This Makes:

• Understand the regulatory rationale behind each requirement
• Learn from a completed example showing best practice
• Avoid the common mistakes that cause delays and rejections
• Track multiple applications with professional tools
• Present applications that make the FCA case officer's job easy

Who This Is For:

• Compliance Officers wanting comprehensive guidance
• Firms with complex or multiple SMF appointments
• Teams seeking the fastest possible approval times
• Anyone who values understanding the 'why' behind requirements

Immediate Download

All documents ready for immediate use and customisation.

Need Hands-Off Support?

Our DFY - Full SMF Application Service (£1,500) handles everything from document preparation to FCA submission.

Includes VAT at 20%. If you are a business and need a VAT Receipt, please ask.