We advise clients ranging from new entrants needing FCA authorisation through to established firms with ongoing compliance issues. They include insurance Brokers, Insurance Companies, Managing General Agents (MGAs) and other intermediaries involved in insurance mediation, such as Motor Dealerships and Call Centres.

Our guidance and support covers everything from adopting the FCA’s cornerstones of risk which includes governance, culture and control, through to compliance monitoring and comprehensive compliance healthchecks against your FCA compliance obligations. We can also help you:

  • Interpret and comply with the Insurance Distribution Directive

  • Monitor the compliance management of your Appointed Representatives (ARs) and Introducer Appointed Representatives (IARs) using our specialist RegTech enabled service

  • Manage the Senior Manager and Certification Regime (SMCR) and support those of you coming into this regulation from December 2019

  • Oversee your ongoing compliance with regulation including SYSC, ICOBs, CASS 5, MIPRU and the Insurance Act 2015

  • Clients enjoy the use of our RegTech resources, including our client portal and e-learning platform, to support compliance management and training

Our experienced, knowledgeable team help firms with many types of insurance regulation issues on a daily basis. They know the importance of customer care and how essential it is to uphold a reputation. So whether you want a detailed assessment of your current compliance or help dealing with the intricacies of SMCR, reviewing your operational risk framework or AR compliance management, we’ll make sure you get practical, effective support.

 

Get In Touch

Please fill in your details below or contact us on 020 3457 3181

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WHAT OUR CLIENTS SAY

The exceptional client outcomes and service experiences we deliver are the result of a diverse and inclusive team that set high standards, pull together to make it happen and never settle for the status quo. 

 

See our client testimonials

We found Compliancy Services via a personal recommendation. We wanted a compliance company that understood our needs. Compliancy Services were very professional and showed a great understanding of our business. We have an ongoing relationship and welcome their expertise.”

Kabir Ahmed
KA Insurance