Insurance Compliance

What does the recent FCA ‘Dear CEO’ letter for the Personal and Commercial Lines Insurance Intermediaries Portfolio mean for you? John King explores the key messages within the letter, the regulator’s priorities and the things that brokers need to do to reduce the risk of harm.

The FCA plans to publish and maintain a directory of certificated persons on the Financial Services Register. Bruce Fayle explains how firms should submit the details of their certification regime staff.

Kirk Ford provides a timely reminder about the purpose of regulation and the ethos behind the Senior Managers and Certification Regime.

Can you believe that it's been nearly two years since the broking world was changed by the requirements of the Insurance Distribution Directive? Tim Smith looks at how the Development Zone can help firms meet their CPD requirements.

What does the word ‘vulnerable’ suggest to you? Lisa Powell explores the FCA’s four drivers of vulnerability and the impact of the Covid-19 pandemic.

The Aviva Development Zone will be undergoing an update at the end of August. What improvements can learners expect?

The FCA has provided guidance on what it considers to be good practice and poor practice in regards to Conduct Rules training and fitness and propriety assessments.

2020 has not been an easy year, with many unexpected pressures placed upon businesses and individuals due to coronavirus. As some sense of normality returns, how can we refocus and put in place training plans for 2021?

Handovers are an important business process, particularly in financial services. How can organisations ensure a smooth handover process?