SMCR Case Study: Broker

How We Can Help

Discover how our SMCR solutions revolutionise compliance in the brokerage sector. Explore our case study to see how we’ve empowered brokerage companies to navigate the complex regulatory landscape effortlessly. From streamlined reporting to robust governance, we’re your partner in achieving compliance excellence.

The Challenge

A large brokerage firm in the UK had merged with another firm, and the SMCR processes need to be updated and harmonised.

There were also various key management changes which necessitated a root and branch review of SMCR.

Additionally, the HR function was not fully conversant with SMCR and needed training.

The Solution

PeopleClear were approached to carry out a full diagnostic of current SMCR practices and make recommendations for change.

Training was tailored and delivered for the HR function.

The SMCR report was received and recommendations implemented with PeopleClear support.

The Outcome

PeopleClear SMCR was recommended for implementation, but due to the use of a current bolt-on module to the current compliance system implementation was delayed until later in 2023.

SMCR certification was able to be carried out smoothly due to the changes made.


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An innovative tool to help organisations regulated by SMCR navigate and simplify the Certification Process.

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