Insurance Regulation Services

  • Overall Compliance Gap Analysis
  • Three lines of defence modelling
  • Preparation for the regulator’s visits
  • Authorizations
  • RMAR reporting
  • Appointed Representatives / Agents  oversight
  • Governance and Culture assessments
  • In-house compliance support
  • Policy and procedures – review and/or construction
  • Business documentation e.g. TOBAs, ICOBS
  • File reviews
  • Treating Customers Fairly especially TCF in the wholesale chain
  • Remuneration practices
  • Business modelling for new COND 2 requirement
  • Third Party financial risks health check
  • Client money account
  • Internal audit services

We also offer access to legal advice and representation in respect of FCA, PRA and the Financial Services Ombudsman enquiries and proceedings, through our close association with Carter Perry Bailey LLP.