Who must complete the Statement of Responsibilities form?

From the implementation date, every Senior Manager will be expected to have a Statement of Responsibility a short document that clearly defines their role and responsibilities. Since they will need to be in place from commencement, firms should be starting to think about drawing up and collating their SoRs now.

Which section of the FCA Handbook contains guidance on statements of responsibilities?

FG19/2: SM&CR: Guidance on Statements of Responsibilities and Responsibilities Maps FCA.

What is a statement of responsibility FCA?

A statement of responsibilities should be drafted in such a way as to be practical and useable by regulators. The FCA considers that this would be achieved by succinct, clear descriptions of each responsibility which avoid unnecessary detail.

What should be included in a statement of responsibility?

A statement of responsibilities should be drafted to clearly show the responsibilities that the candidate or senior manager is to perform as part of their controlled function and how they fit in with the firm's overall governance and management arrangements.

Who needs to have a statement of responsibilities?

A statement of responsibilities must be a self-contained document. There should be one statement per senior manager per firm. Where an individual performs a senior management function on behalf of more than one firm within a group, one statement of responsibilities is required for each firm.

What is a statement of responsibilities under SMCR?

Each SoR needs to include information about the responsibilities of the Senior Manager, both of the function/s they hold and any prescribed responsibilities, and importantly should aim to state what the Senior Manager does (including what they are responsible and accountable for) rather than how they do it.

What is a statement of responsibility FCA?

A statement of responsibilities should be drafted in such a way as to be practical and useable by regulators. The FCA considers that this would be achieved by succinct, clear descriptions of each responsibility which avoid unnecessary detail.

What is statement of responsibility mean?

A statement of responsibility is a statement relating to the identification and/or function of any persons, families, or corporate bodies responsible for the creation of, or contributing to the realization of, the intellectual or artistic content of a resource.

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Q: Which section of the FCA Handbook contains guidance on statements of responsibilities?

FG19/2: SM&amp;CR: Guidance on Statements of Responsibilities and Responsibilities Maps FCA.

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