SMCR Handover Documentation Template

Compliance Consultant — Making Compliance Work

The FCA has made it clear: simply stating "a handover has taken place" is not enough. When assessing Form A applications, the regulator expects to see a reasonable summary demonstrating the handover that has, or will, take place. Inadequate documentation can delay SMF approvals, trigger supervisory challenge, and expose firms to enforcement risk.

This comprehensive template provides everything your firm needs to document, manage, and evidence compliant Senior Management Function handovers under SYSC 25.9 of the FCA Handbook.

WHAT'S INCLUDED:

• SMF Handover Policy Statement with governance framework and regulatory mapping
• Pre-Handover Preparation Checklist covering FCA notifications, Form A/C, regulatory references, and fit and proper assessments
• Handover Certificate template with sections for role details, Statement of Responsibilities summary, regulatory position, operational matters, and predecessor opinions
• Handover Meeting Log templates with agenda, discussion summaries, and action tracking
• SMF-Specific Supplements for SMF1, SMF3, SMF4, SMF9, SMF16, and SMF17 roles
• Systems, Access and Documentation Inventory with complete access requirements checklist
• Formal Sign-Off Declarations for outgoing and incoming SMF holders plus governance approval
• 90-Day Post-Handover Review Checklist to verify handover effectiveness
• Emergency and Unplanned Handover Protocol with immediate and short-term action frameworks
• Live Documentation Maintenance framework with update logs
• Regulatory Reference Guide cross-mapping to SYSC 25.9, SUP 10C, FIT, COCON, and SYSC 22

UPDATED FOR 2026:

This template reflects the latest SMCR reform proposals from CP25/21 and the HM Treasury consultation, including extended SoR submission timeframes, revised enhanced firm thresholds, and streamlined certification processes. The core handover documentation requirements remain fully applicable regardless of Phase 1 or Phase 2 reform outcomes.

WHO IS THIS FOR:

• Compliance Officers managing SMF transitions
• Senior Managers taking on or leaving an SMF role
• HR Directors co-ordinating SMF appointments and Succession planning
• Board Members overseeing governance and accountability frameworks
• FCA-authorised firms of all categories (Limited, Core, Enhanced)

FORMAT: Fully editable Microsoft Word document (.docx)

PAGES: 30+ pages of professional, structured templates

DELIVERY: Instant digital download

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