Terence Clark details a recent change to GABRIEL Section J Reporting.
Introducer Appointed Representatives (IARs) and the Insurance Distribution Directive (IDD)
Terence Clark outlines the UK regulatory landscape in relation to IARs, from 1st October 2018.
What is competency?
Competency is an industry buzzword used whenever compliance issues are raised. But what is it and how can it be assessed? Kate Foreman explains.
Are you up to speed with the IDD? Read on...
Ash Patel, technical director at RWA, provides a brief overview of the IDD.
The importance of being 'on the same page'
The route from the underwriter to the insured is paved with opportunities for misunderstanding. Robin Wood outlines ways to ensure communication is clear.
Senior Managers & Certification Regime
The FCA has now published its Policy Statements on the implementation of the SMCR, which will, for insurance brokers, be effective from 9 December 2019.
Q2 2018 Summary of FCA Communication Documents
The team at RWA has compiled its quarterly review of the Financial Conduct Authority's communication documents, covering the period from April - June 2018.
If you are an appointed person or are responsible for compliance within your firm, it is important that you scan through the review, to keep up to date with the latest FCA documentation.
Top Tips: FCA Fees and GABRIEL Passwords
Here are a couple of tips, which each broker may wish to consider...