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.


You might also be interested in


Helping firms prepare their Brexit strategy and offering award winning FCA authorisation services to EEA firms that currently passport into the UK
Find out more

FCA Training

E-learning, classroom training and board briefings to help insurance firms meet FCA Training and Competence obligations
Find out more

Managing your compliance

Smaller firms outsource compliance management to us, larger firms use our resources to enhance their existing team
Find out more


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