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This is an Excel based checklist for implementing, or benchmarking your implementation of, the SMCR. This allows you to ensure your SMCR is complete and covers all elements of the regime. It is written in plain language and avoids use of regulatory terminology unless industry standard.


The checklist covers the overarching framework and oversight that you will need to have in place for SMCR, as well as all three of the component regimes:

  1. Senior Manager Regime
  2. Certification Regime
  3. Conduct Rules


There are over 30 items in the checklist so they have been grouped by element of the SMCR so it is easy to align with your implementation project. It also includes columns ready for you to track your progress through to completion so you have a thorough audit trail.


To provide additional context and background every item in the checklist includes reasons as to why each item is required.


The checklist has been compiled to reflect best practice and is based on our SMCR How to Guide, which is also available as a digital download. If you later decide you want to buy the How to Guide please let us know and we will discount the price you paid for this checklist off the price of the Guide.


As with all our materials this checklist is formatted ready to print and \ or circulate internally. It has been designed with the project manager in mind, making it practical, succinct, and self explanatory ready for the project manager to record their responses.


Please note that this is exactly the same checklist as included in the SMCR How to Guide, the only difference is the version in the Guide is in Word and this is in Excel. If you prefer to buy a copy of the checklist in Word please let us know.

SMCR Checklist

Excluding VAT
  • This product is in Microsoft Excel (*.xlsx)

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