Governance, SM&CR & policies

Practical governance, senior management responsibility arrangements and compliance documentation — designed to support real oversight in regulated firms.

Arrange a discussion

Areas of support

What support can include

Scope is agreed with each firm; the items below are illustrative rather than a fixed package.

Governance structures and committee arrangements appropriate to firm size
Responsibility mapping and senior management documentation under SM&CR
Statements of responsibilities, management responsibilities maps and supporting records
Consumer Duty implementation, governance and ongoing assessment
Conflicts of interest, inducements and best execution policy frameworks
Operational resilience: important business services, impact tolerances and mapping
Committee and board reporting that evidences oversight
Compliance manuals, policies and procedures aligned to the business model
Control frameworks and supporting record-keeping

Governance & SM&CR

Oversight that is structured and evidenced

Support with governance structures, responsibility mapping, senior manager documentation, committee reporting and evidence of oversight — so that arrangements are not only in place but demonstrable.

Policies & procedures

Documentation that works in practice

Drafting, review and enhancement of compliance manuals, policies, procedures and control frameworks aligned to the firm’s business model and regulatory obligations — written to be used, not filed.

How it works

A clear, structured process

Review current arrangements

Understand the existing governance, SM&CR documentation and policy framework.

Map responsibilities

Clarify responsibilities, reporting lines and oversight, and identify gaps.

Draft and align documentation

Produce or enhance policies, procedures and SM&CR records aligned to obligations.

Embed and evidence

Support reporting and record-keeping so oversight is demonstrable.

Scope & regulatory boundaries

Bishopsgate Vector is not authorised or regulated by the Financial Conduct Authority. It does not provide investment advice, manage investments, arrange investments or hold client money.

Where support relates to a Senior Management Function, including SMF16 (Compliance Oversight), any arrangement is subject to appropriate client agreement, defined role scope, applicable regulatory requirements and FCA approval where required. Client firms remain responsible for their own regulatory obligations.