UK Senior Managers & Certification Regime (SM&CR) · v2016 (FCA/PRA, as amended)

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

CategoryReqsEnforcedDesignedAdvisoryDeferredCoverage
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

IDTitleStatusKYE 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-cr
sector_packs: kye:sector-pack:uk-financial-services-sm-cr
dictionaries: internal
constitution_refs: constitution/12-PURPOSE-PERMISSION.md
uk-smcr.duty-of-responsibility Duty of Responsibility — reasonable-steps evidence advisory rule_packs: kye:rule-pack:sm-cr
constitution_refs: constitution/13-RESILIENCE-LOOP.md
audit_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-cr
dictionaries: internal
constitution_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