UK Senior Managers & Certification Regime (SM&CR)
UK Senior Managers & Certification Regime (SM&CR) — 44% covered.
4 requirements · 0 enforced · 3 designed · 1 advisory · 0 deferred.
Source: The UK Senior Managers & Certification Regime (FCA SYSC / PRA Rulebook), the accountability framework for senior individuals in FCA/PRA-regulated firms. KYE Protocol(TM) governs WHETHER an AI agent's action may proceed under a named Senior Manager's delegated authority, with the responsibility line recorded before the action and replay-provable evidence of who authorised what. KYE does not replace the firm's Statement of Responsibilities, the regulator's fitness-and-propriety assessment, or legal advice. CONSUMED via framework__rule_pack edges into the existing kye:rule-pack:sm-cr + kye:sector-pack:uk-financial-services-sm-cr (section-0: never re-mapped). · License: FCA/PRA rules are Crown copyright / regulator publications; KYE registry cites the regime's provisions for mapping purposes only.
By category
| Category | Reqs | Enforced | Designed | Advisory | Deferred | Coverage |
|---|---|---|---|---|---|---|
| Senior Managers Regime | 2 | 0 | 1 | 1 | 0 | 38% |
| Certification & Conduct Rules | 2 | 0 | 2 | 0 | 0 | 50% |
Every requirement → the KYE™ artefact that enforces it
| ID | Title | Status | KYE™ enforcement |
|---|---|---|---|
uk-smcr.smf-responsibility |
Senior Management Functions & Statements of Responsibility — recorded authority line for AI-assisted actions | designed | rule_packs: kye:rule-pack:sm-crsector_packs: kye:sector-pack:uk-financial-services-sm-crdictionaries: internalconstitution_refs: constitution/12-PURPOSE-PERMISSION.md |
uk-smcr.duty-of-responsibility |
Duty of Responsibility — reasonable-steps evidence | advisory | rule_packs: kye:rule-pack:sm-crconstitution_refs: constitution/13-RESILIENCE-LOOP.mdaudit_events: kye.evidence.pack.v1, kye.replay.proof.v1 |
uk-smcr.certification |
Certification Regime — scope of authority for certified staff | designed | rule_packs: kye:rule-pack:sm-crdictionaries: internalconstitution_refs: constitution/12-PURPOSE-PERMISSION.md |
uk-smcr.conduct-rules |
Conduct Rules — contestable record of governed conduct | designed | constitution_refs: constitution/21-DELEGATED-AUDITABILITY.md |