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    COMPLIANCE TOOLKIT

    The SMF16/SMF17 Regulatory Change Playbook

    From FCA Publication to Closed Action Item

    Prove accountability, not just intent — with a six-stage process and a supervisor-ready evidence trail.

    £19.99
    PDF, immediate download after purchase
    Concise reference format — designed to be used, not filed

    Secure payment via Stripe

    Every FCA publication creates an obligation. This playbook gives SMF16 and SMF17 holders a structured six-stage process — from reading the document to closing the action item — with clear ownership at each step and an evidence trail your supervisor or regulator can follow. Built for the compliance officer who needs to show they acted, not just that they were aware.

    Who this is for

    • SMF16 (Compliance Oversight) and SMF17 (Money Laundering Reporting) function holders
    • Chief Compliance Officers managing regulatory change programmes
    • Compliance managers who report to an SMF16 or SMF17 holder
    • Legal and risk teams responsible for regulatory horizon scanning
    • Firms preparing for FCA supervisory visits or attestation requests

    What you'll walk away with

    • A repeatable process for handling every FCA, PRA, or ICO publication
    • Clear documentation that demonstrates personal accountability under SM&CR
    • Reduced risk of supervisory findings related to regulatory change management
    • Confidence in your evidence trail if you face a regulatory enquiry or attestation
    • A framework you can embed into your team's operating rhythm immediately

    What's inside

    The Six-Stage Regulatory Change Process

    • Stage 1: Initial publication triage — what to read, what to escalate, and when
    • Stage 2: Impact assessment — mapping the change to your firm's activities and obligations
    • Stage 3: Ownership allocation — who is accountable for each action item
    • Stage 4: Implementation planning — timelines, milestones, and sign-off gates
    • Stage 5: Evidence capture — what to document and in what format
    • Stage 6: Closure and attestation — confirming completion with a regulatory-ready record

    Supporting Templates and Tools

    • Regulatory change log template with ownership and status tracking
    • Impact assessment framework mapped to SM&CR responsibilities
    • Evidence checklist for each stage of the process
    • Supervisor sign-off template for escalated changes
    • Closure memo template suitable for board or audit committee reporting

    READY TO START

    The SMF16/SMF17 Regulatory Change Playbook

    From FCA Publication to Closed Action Item

    Back to Resources
    Secure payment via Stripe PDF, immediate download after purchase Concise reference format — designed to be used, not filed