Ruleguard for SMCR


Ruleguard for SMCR

Map organisational structure, track responsibilities and delegation, evidence reasonable steps & automate submissions to the FCA Directory

Ruleguard for SMCR is an end-to-end technology solution designed to help firms reduce the cost and regulatory risk arising from compliance with the Senior Managers and Certification Regime.

Using Ruleguard, you can document every employee within the SMCR population and organise all of the information needed to comply with the rules.


Senior Managers can track responsibilities using a visual map of delegated items, and demonstrate ‘reasonable steps’ with built-in attestations and evidencing.

Individual reporting lines can be mapped, including cross-entity and matrix-management scenarios.

Once this information is stored in Ruleguard, you can create Statements of Responsibilities (SORs) for each person and Responsibilities Maps covering the full picture of your business.


Fitness and Propriety and Certification workflows allow you to automate the assessment of individuals joining the firm and on a regular basis afterwards. Conduct Rule training progress and Conduct Breaches can also be tracked with the same system.


Dashboards and MI provide real-time insights and regular reporting outputs, and give HR or Compliance teams the necessary reassurance that everything is on-track.