UK Senior Managers & Certification Regime (SM&CR)

UK Senior Managers & Certification Regime (SM&CR) — 44% of in-scope requirements covered.

4 requirements · 4 in scope (3 designed · 1 advisory). The 44% is weighted over the in-scope base.

UK Senior Managers & Certification Regime (SM&CR): requirement → the KYE™ artefact that enforces it

Demo data

You learn: Which requirements KYE™ enforces at runtime and with which artefact. You can: Walk the requirements.

  1. smf-responsibility · designed

    Senior Management Functions & Statements of Responsibility — recorded authority line for AI-assisted actions

    Rule packs: kye:rule-pack:sm-cr · Sector packs: kye:sector-pack:uk-financial-services-sm-cr · Constitution: 12 purpose permission

  2. certification · designed

    Certification Regime — scope of authority for certified staff

    Rule packs: kye:rule-pack:sm-cr · Constitution: 12 purpose permission

  3. conduct-rules · designed

    Conduct Rules — contestable record of governed conduct

    Constitution: 21 delegated auditability

  4. duty-of-responsibility · advisory

    Duty of Responsibility — reasonable-steps evidence

    Rule packs: kye:rule-pack:sm-cr · Constitution: 13 resilience loop · Audit events: kye.evidence.pack.v1, kye.replay.proof.v1

How this widget is built
Demonstrates
KYE™ Compliance Mapping Rail™
Components
  • Framework requirement (clause)
  • Coverage status
  • KYE™ enforcement artefact (event, decision-record field, Evidence Pack™ entry)
Flow
Clause → status → the KYE™ artefact that enforces it, enforced requirements first. Architecture diagram
Used on

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 Regime2011038%
Certification & Conduct Rules2020050%

Every requirement → the KYE™ artefact that enforces it

IDTitleStatusKYE™ enforcement
uk-smcr.smf-responsibilitySenior Management Functions & Statements of Responsibility — recorded authority line for AI-assisted actionsdesignedrule_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-responsibilityDuty of Responsibility — reasonable-steps evidenceadvisoryrule_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.certificationCertification Regime — scope of authority for certified staffdesignedrule_packs: kye:rule-pack:sm-cr
dictionaries: internal
constitution_refs: constitution/12-PURPOSE-PERMISSION.md
uk-smcr.conduct-rulesConduct Rules — contestable record of governed conductdesignedconstitution_refs: constitution/21-DELEGATED-AUDITABILITY.md

Canonical KYE™ surfaces referenced on this page: KYE Protocol™.