Meta Title: Knowledge Centre | SMF Capital
Meta Description: Reference guides to the SMCR’s underlying documents and mechanics — Responsibilities Maps, Conduct Rules, notification forms, firm tiers and more.
Reference guides to the documents, forms and mechanics that sit underneath the SMCR — the detail that supports every designation guide and every piece of analysis on this site. These are deliberately narrow, specific references rather than a general introduction to SMCR, which our sister practice FD Capital already covers thoroughly.
The Responsibilities Map Explained
The firm-wide document mapping every management responsibility, and how it differs from an individual Statement of Responsibilities.
Conduct Rules Explained
What the Individual and Senior Manager Conduct Rules actually require, and who they apply to.
The Other SMCR Notification Forms: B to E
Beyond Form A — what Forms B, C, D and E actually cover and when firms need to file them.
Regulatory References: The Six-Year Rule
What firms must request, disclose and retain under the mandatory regulatory reference regime.
Which SMFs Apply at Which Firm Tier?
A designation-by-designation map of which SMFs apply at Limited Scope, Core and Enhanced firms.
The Fitness and Proper Test in Full
Every sub-criterion behind the three-part test, not just the headline categories.
The 12-Week Rule
How firms can cover an SMF role temporarily without full FCA approval, and where the limits are.
SMF Approval for Overseas Firms and Group Structures
How SMF requirements apply to branches, EEA firms and group structures — including SMF19, 21 and 22.
Adrian Lawrence FCA — Founder, SMF Capital
Adrian is a Fellow of the ICAEW and holds an ICAEW practising certificate in his own name. He founded FD Capital in 2018 and has since built out Exec Capital, NED Capital and Accountancy Capital alongside SMF Capital. View Adrian’s ICAEW profile.
Need Help Applying Any of This to Your Firm?
Call 0203 137 2496 or email recruitment@smfcapital.co.uk. Reference material only goes so far — we’re happy to talk through how it applies to your specific structure.