Statement Of Responsibilities For Solo-regulated Firms
Application number or IRN(for FCA use only)Senior Managers Regime:Statement of Responsibilities for solo-regulated firmsThis form applies to solo-regulated firms. It does not apply to dual regulated firms or appointedrepresentatives.This is a statement provided under section 60(2A) of the Financial Services and Markets Act 2000(Applications for approval), including a statement revised under section 62A (Changes inresponsibilities of senior managers).For candidates for approval, this form must be submitted as an attachment to a Form A application ora Form E application.For significant changes to an existing statement of responsibilities, this form must be submitted as anattachment to a Form J notification or a Form I application or variation.FCA Handbook Reference: SUP 10C Annex 10D.9 December 2019Name of individual(to be completed by firm)Name of firm(as entered in 2.01)Financial Conduct Authority12 Endeavour SquareStratfordLondon E20 1JNUnited KingdomTelephone 44 (0) 300 500 .fca.org.ukRegistered as a Limited Company in Englandand Wales No 1920623. Registered Office asaboveSenior Managers Regime: Statement of Responsibilities for solo-regulated firmsPage 1
Personal identifications details1.01Individual Reference Number (IRN)1.02Title(e.g. Mr, Mrs, Ms)1.03Surname1.04ALL forenames1.05Date of birth (dd/mm/yyyy)1.06National Insurance numberSection 1Firm identification detailsSection 22.01Name of firm2.02Firm Reference Number (FRN)2.03 aWho should the FCA contact at the firm inrelation to this statement of responsibilities?bPositioncTelephoneeE-mail I have supplied further informationrelated to this page in Section 4Senior Managers Regime: Statement of Responsibilities for solo-regulated firmsYESNOPage 2
Senior Management FunctionsSection 3A statement of responsibilities should be drafted to clearly show the responsibilities that the candidate or seniormanager is to perform as part of their senior management function and how they fit in with the firm’s overallgovernance and management arrangements. If the firm is an enhanced scope SM&CR firm, the statement ofresponsibilities should also be consistent with the firm’s management responsibilities map.A statement of responsibilities should be drafted in such a way as to be practical and useable by regulators. TheFCA considers that this would be achieved by succinct, clear descriptions of each responsibility which avoidunnecessary detail. Firms have the opportunity to provide details of each responsibility allocated to an individualusing the free text boxes in this form, however, FCA would not usually expect the description of eachresponsibility to exceed 300 words.A statement of responsibilities must be a self-contained document. There should be one statement per seniormanager per firm. Where an individual performs a senior management function on behalf of more than one firmwithin a group, one statement of responsibilities is required for each firm. Any supplementary information may beprovided in Section 4 (or if submitting electronically, in a single attachment). A statement of responsibilities mustnot cross refer to other documents, attachments or links.If the FCA considers that the statement of responsibilities is not sufficiently clear to be practical and usable, itcould be challenged as part of a candidate’s application for approval, or in ongoing supervision.Details of the individual’s responsibilities should be set out in Sections 3.2 to 3.4, as appropriate: Section 3.2 covers prescribed responsibilities required by regulators to be allocated to one or moresenior managers. This section is not applicable to limited scope SMCR firms or EEA core SMCRbranches.Section 3.3 covers having overall responsibility for each of the business areas, activities, andmanagement functions of the firm. This section applies to enhanced scope SMCR firms only.Section 3.4 covers anything else, not otherwise included, for which a candidate or senior manager is tobe responsible as part of their FCA senior management function(s) role. This section applies to allfirms.3.1 Effective date and relevant Senior Management Functions3.1.1 Please state the effective date of this statement of responsibilities:Please note that where this is a revised statement of responsibilities, i.e. since the granting of the application,there has been a significant change in the aspects of the firm’s affairs which the individual is responsible formanaging in performing the function (for example, a change in allocation of responsibilities within the firm, or thesenior manager is applying for a new or additional senior management function), then this statement ofresponsibilities supersedes any previous versions.3.1.2 List all senior management functions which the candidate or senior manager is to perform and the effectivedate the candidate or senior manager commenced or will commence the performance of the functions.SeniormanagementfunctionDescription ofsenior managementfunctionTick SMF applied for or heldCore firmsLimitedscopeSMCRfirmsSMF 1UK nhancedSMCRfirmsEffectiveDateChief ExecutiveSenior Managers Regime: Statement of Responsibilities for solo-regulated firmsPage 3
SMF 2Chief FinanceSMF 3Executive DirectorSMF 4Chief Risk OfficerSMF 5Head of InternalAuditSMF 7Group Entity SeniorManagerSMF 9Chair of theGoverning BodySMF10Chair of the RiskCommitteeSMF11Chair of the AuditCommitteeSMF12Chair of theRemunerationCommitteeSMF13Chair of theNominationCommitteeSMF14Senior ney LaunderingReporting OfficerSMF18Other overallresponsibilityfunctionSMF19Head of OverseasBranchSMF21EEA Branch SeniorManagerSMF24Chief OperationsSMF27PartnerSMF29Limited scopefunction (limitedscope SMCR firmsonly)This statement of responsibilities is considered to automatically include the existing legal and regulatoryobligations where they exist for these roles and functions. For example, certain specific responsibilities of aSenior Managers Regime: Statement of Responsibilities for solo-regulated firmsPage 4
director are set out in company law. Such responsibilities do not need to be recorded in this statement, but anyadditional responsibilities should be recorded in the sections below.3.2 Prescribed ResponsibilitiesThis section deals with those prescribed responsibilities to be allocated to one or more senior managers. Theallocation of responsibilities under a statement of responsibilities should not reduce or alter the scope of anyapplicable prescribed responsibilities. Limited scope SMCR firms and EEA core SMCR branches are not requiredto assign prescribed responsibilities and should leave this section blank.If the responsibilities that the candidate or senior manager is to carry out as described in the statement ofresponsibilities go beyond those set out in this section, those additional responsibilities should not reduce or alterthe scope of the prescribed requirements set out in this section (SUP 10C.11)3.2.1 Please indicate below which of the responsibilities listed are/will be allocated to the candidate or seniormanager if any, and whether or not they are shared. Different prescribed responsibilities apply to differenttypes of firm as indicated in the table below.If the individual has not been allocated a prescribed responsibility, please go to Section 3.3.Senior Managers Regime: Statement of Responsibilities for solo-regulated firmsPage 5
RefPrescribed Responsibility (Applicable to UK Core SMCR firms )Does thisprescribedresponsibilityapply?Is this prescribedresponsibilityshared?aResponsibility for the firm’s performance of its obligations under the senior managers regimeYes / NoYes / NobResponsibility for the firm’s performance of its obligations under the employee certification regimeYes / NoYes / NoResponsibility for the firm’s obligations in relation to individual conduct rules for:(a) training; and(b) reportingYes / NoYes / NodOverall responsibility for the firm’s policies and procedures for countering the risk that the firm might beused to further financial crimeYes / NoYes / NozResponsibility for the firm’s compliance with CASSYes / NoYes / NozaResponsibility for an AFM’s value for money assessments, independent director representation andacting in investors’ best interestsYes / NoYes / NoRefPrescribed Responsibility (These should be applied by enhanced scope SMCR firms only, inaddition to the prescribed responsibilities for core SMCR firms)Does thisprescribedresponsibilityapply?Is this prescribedresponsibilityshared?cCompliance with the rules relating to the firm’s management responsibilities mapYes / NoYes / NojResponsibility for:(a) safeguarding the independence of; and(b) oversight of the performance of;the internal audit function, in accordance with the internal audit requirements for SMCR firms.Yes / NoYes / NokResponsibility for:(a) safeguarding the independence of; and(b) oversight of the performance of;the compliance function in accordance with the compliance requirements for SMCR firms.Yes / NoYes / NolResponsibility for:Yes / NoYes / Nob-1Senior Managers Regime: Statement of Responsibilities for solo-regulated firmsPage 6
RefPrescribed Responsibility (These should be applied by enhanced scope SMCR firms only, inaddition to the prescribed responsibilities for core SMCR firms)Does thisprescribedresponsibilityapply?Is this prescribedresponsibilityshared?Yes / NoYes / No(a) safeguarding the independence of; and(b) oversight of the performance of;the risk function, in accordance with the risk control requirements for SMCR firms.j-3Responsibility for taking reasonable steps to ensure that every person involved in the performance ofthe firm’s internal audit function is independent from the persons who perform external audit, including:(a)supervision and management of the work of outsourced internal auditors; and(b)management of potential conflicts of interest between the provision of external audit and internalaudit services.tResponsibility for the development and maintenance of the firm’s business model by the governingbody.Yes / NoYes / NosResponsibility for:(a) managing the firm’s internal stress tests; and(b) ensuring the accuracy and timeliness of information provided to the FCA and otherregulatory bodies for the purposes of stress testing.Yes / NoYes / NoPrescribed Responsibility (Applicable to non-EEA branches)Does thisprescribedresponsibilityapply?Is this prescribedresponsibilityshared?aResponsibility for the firm’s performance of its obligations under the senior managers regimeYes / NoYes / NobResponsibility for the firm’s performance of its obligations under the employee certification regimeYes / NoYes / NoResponsibility for the firm’s obligations in relation to individual conduct rules for:(a) training; and(b) reportingYes / NoYes / NoResponsibility for the firm’s policies and procedures for countering the risk that the firm might be usedYes / NoYes / NoRefb-1dSenior Managers Regime: Statement of Responsibilities for solo-regulated firmsPage 7
RefPrescribed Responsibility (Applicable to non-EEA branches)Does thisprescribedresponsibilityapply?Is this prescribedresponsibilityshared?to further financial crimezResponsibility for the firm’s compliance with CASSYes / NoYes / NoaaResponsibility for the management of the firm’s risk management processes in the UKYes / NoYes / NoffResponsibility for the firm’s compliance with the UK regulatory system applicable to the firmYes / NoYes / NoeeResponsibility for the escalation of correspondence from the PRA, FCA and other regulators in respectof the firm to the governing body and/or the management body, or where appropriate, of the parentundertaking or holding company of the firm’s group.Yes / NoYes / No3.2.2 If necessary, please provide additional information about each prescribed responsibility, including: A breakdown of the different components and tasks which the responsibility encompasses; and If applicable, details of any sharing arrangements including, if known, the name(s), IRN(s) and/or job title(s) of the individual(s) with whom the candidate or senior manageris or will be sharing this prescribed responsibility. The responsibility should be recorded in the same way in the statements of responsibilities for each individual.Additional information must be relevant, succinct and not dilute or undermine the prescribed responsibility.RefPrescribed ResponsibilityFurther Relevant DetailsSenior Managers Regime: Statement of Responsibilities for solo-regulated firmsPage 8
Senior Managers Regime: Statement of Responsibilities for solo-regulated firmsI have supplied further informationrelated to this page in Section 4Page 9YESNO
3.3 Overall ResponsibilityThis section deals with having overall responsibility for any of the business areas, activities, or managementfunctions of the firm. This section only applies to enhanced scope SMCR firms. If you are not an enhanced scopeSMCR firm, you should leave this section blank.3.3.1 Overall ResponsibilityBy overall responsibility we mean the ultimate responsibility (under the governing body) for managing orsupervising that function, and primary and direct responsibility for briefing and reporting to the governing bodyabout that function and putting matters for decision about that function to the governing body of the firm.(SYSC24)If the individual has overall responsibility for any or part of the business areas, activities, or managementfunctions of a firm, please provide details of each in the table below.Where responsibilities are shared (for example, a responsibility may be shared as part of a job share or wheredeparting and incoming senior managers work together temporarily as part of a handover), please provide detailsof any sharing arrangements including, if known, the name(s), IRN(s) and/or job title(s) of the individual(s) youare sharing this responsibility with. The responsibility should be recorded in the same way in the statement ofresponsibilities for each individual.If the individual does not have overall responsibility for a business area, activity or management function of thefirm, please go to Section 3.4 below.A firm may wish to refer to SYSC 25 Annex 1G (replicated in Annex A of this statement of responsibilities) to helpit make sure it has not failed to allocate overall responsibility for a particular activity of the firm. Please note thatthe FCA does not require firms to organise themselves by the functions in SYSC 4 Annex 1G, and that the Annexis not comprehensive. It is important that a firm does not fail to allocate overall responsibility for business areas,activities and management functions, in line with SYSC 4.Senior Managers Regime: Statement of Responsibilities for solo-regulated firmsPage 10
Please provide a title forthis overall responsibilityIs this overall responsibilityshared?If ‘Yes’ please provide, thename(s), IRN(s) and/or jobtitle(s) of the individual(s) youare sharing this responsibilitywith (where known)Please provide further details of this overall responsibility.Yes / NoYes / NoYes / NoYes / No Senior Managers Regime: Statement of Responsibilities for solo-regulated firmsI have supplied further informationrelated to this page in Section 4Page 11YESNO
3.4Other Responsibilities3.4.1Please set out below any additional responsibility not otherwise recorded in this statement, for which a candidate or senior manager is to be responsible as part oftheir FCA senior management function(s). For core SMCR firms and limited scope SMCR firms, these may include responsibilities for managing aspects of thebusiness. For enhanced scope SMCR firms, they could be responsibilities outside the normal course of business such as those linked to high profile projects orinitiatives which are not documented as Overall Responsibilities. This section applies to all firms.Where responsibilities are shared (for example, a responsibility may be shared as part of a job share or where departing and incoming senior managers work togethertemporarily as part of a handover), please provide details of any sharing arrangements including, if known, the name(s), IRN(s) and/or job title(s) of the individual(s)the candidate or senior manager will be sharing this responsibility with. The responsibility should be recorded in the same way in the statements of responsibilities foreach individual.Please provide a title for this otherresponsibilityPlease provide further details of this other responsibilityIs this other responsibilityshared?If ‘Yes’ please provide ,thename(s), IRN(s) and/or job title(s)of the individual(s) you aresharing this responsibility with(where known)Yes / NoYes / NoYes / NoYes / No Senior Managers Regime: Statement of Responsibilities for solo-regulated firmsI have supplied further informationrelated to this page in Section 4Page 12YESNO
Supplementary Information4.1 Is there any other information the individual or the firm considers to berelevant?Section 4YESNOIf yes, please provide details below or on a separate sheet of paper and clearly identify the section and questionto which the additional information relates.QuestionInformation4.2 How many additional sheets are being submitted?Senior Managers Regime: Statement of Responsibilities for solo-regulated firmsPage 13
ANNEX ASYSC 25Annex 1GThe main business activities and functions of a SMCR firm.Business areas andmanagement functionsExplanation(1) Payment servicesThis means:(1) payment services;(2) issuing and administering other means of payment (forexample, cheques and bankers' drafts);(3) issuing electronic money; and(4) current accounts.(2) SettlementThis means clearing and settlement of any transactionsdescribed in rows (3) and (6) to (9) of this annex in relationto the assets covered by (9).It also includes clearing and settlement of any transactionsdescribed in row (10).(3) Investment managementThis has the same meaning as managing investments withthe following adjustments:(a)it covers all types of assets; and(b)the exclusions in the Regulated Activities Orderdo not apply.It also covers fund management.(4) Financial or investment adviceThis includes advising on investments.(5) Mortgage adviceThis has the same meaning as advising on regulatedmortgage contracts but is expanded to cover land anywherein the world and to cover security of any kind over land.(6) Corporate investmentsThis means acquiring, holding, managing and disposing afirm’s investments made for its own account.(7) Wholesale salesThis means the selling of any investment to a person otherthan a retail customer.It does not include the activities in (1).(8) Retail salesThis means the selling of any investment to a retailcustomer.It includes savings accounts. It does not include theactivities in (1).(9) Trading for clientsThis means dealing in investments as agent and executionof orders on behalf of clients but the list of products includesmoney market instruments and foreign exchange.Senior Managers Regime: Statement of Responsibilities for solo-regulated firmsPage 14
Business areas andmanagement functionsExplanation(10) Market makingThis has the same meaning as it does in MIFID (see thedefinition of market maker in article 4.1(8)).(11) Investment research(12) Origination/syndication andunderwritingOrigination and syndication include:(1) entering into or acquiring (directly or indirectly) anycommitment or investment with a view to transferring someor all of it to others, or with a view to others investing in thesame transaction;(2) sub-participation; and(3) any transaction described in the Glossary definition oforiginator.Underwriting includes underwriting that is not on a firmcommitment basis.A commitment or investment includes an economic interestin some or all of it.This activity also includes the provision of services relatingto such transactions.(13) Retail lending decisionsDeciding whether, and on what terms, to lend to retailcustomers.Lending includes granting credit, leasing and hire (includingfinance leasing).(14) Wholesale lending decisionsDeciding whether, and on what terms, to lend to personswho are not retail customers.Lending includes granting credit, leasing and hire (includingfinance leasing).(15) Design and manufacturing ofproducts intended for wholesalecustomersWholesale customers mean persons who are not retailcustomers(16) Design and manufacture ofproducts intended for retailcustomers(17) Production and distribution ofmarketing materials andcommunicationsThis includes financial promotions(18) Customer serviceThis means dealing with clients after the point of sale,including queries and fulfilment of client requests(19) Customer complaintshandlingThis includes the firm’s compliance with DISP.It also includes:(1) any similar procedures relating to activities that do notcome under the jurisdiction of the Financial OmbudsmanService;Senior Managers Regime: Statement of Responsibilities for solo-regulated firmsPage 15
Business areas andmanagement functionsExplanation(2) activities that take place outside the UK; and(3) activities that are not subject to any ombudsman service.(20) Collection and recoveringamounts owed to a firm by itscustomersDealing with customers in arrears(21) Middle office“Customer” means any person falling into any of thedefinitions of client in the Glossary so far as they apply tothe FCA’s Handbook. The definition is extended to cover allservices provided by the firm and not just those that areprovided in the course of carrying on a regulated activity oran ancillary service.This means risk management and controls in relation to,and accounting for, transactions in securities or derivatives(22) The firm’s informationtechnology(23) Business continuity planningThis means the functions described in SYSC 4.1.6R andSYSC 4.1.7R(24) Human resourcesThis includes recruitment, training and competence andperformance monitoring(25) Incentive schemes for thefirm’s staffThis is not limited to schemes based on sales.(26) Providing information inrelation to a specified benchmark(27) Administering a specifiedbenchmarkNote (1): The purpose of this Annex is explained in SYSC 25.7 (Guidance about SYSC 25 Annex1 G) and SYSC 26.11.2G.Note (2): A firm does not have to use the split of activities in this Annex for the purposes in Note(1). If a firm does decide to use it, it may adapt it to suit its management arrangements better.For example, a firm may find the split of activities into retail and wholesale activities unsuitable. Ifso, the firm might:(a) treat retail and wholesale activities together; or(b) use its own definition of retail and wholesale activities.Senior Managers Regime: Statement of Responsibilities for solo-regulated firmsPage 16
Dec 09, 2019 · For candidates for approval, this form must be submitted as an attachment to a Form A application or a Form E application. For significant changes to an existing statement of responsibilities, this form must be submitted as an attachment to a Form J notification or a Form I application or variation. FCA Handbook Reference: SUP 10C Annex 10D.
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