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

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

  • Clients enjoy the use of our regtech resources, including our client portal, SM&CR System 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.

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My Compliance Centre

Clients enjoy the Lite Edition of My Compliance Centre as a free extension of our service.
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FCA Training

E-learning, classroom training and board briefings to help insurance firms meet FCA Training and Competence obligations
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Managing your compliance

Smaller firms outsource compliance management to us, larger firms use our resources to enhance their existing team
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Includes ex-regulators, industry practitioners and subject matter experts

Through the breadth and depth of their collective expertise and experience, we offer an outstanding service. Reducing the regulatory burden, minimising your time and resources,  and ensuring that compliance makes a positive contribution to your business.

Meet our team