Insurance Compliance

The annual return to the Competition and Markets Authority (CMA) is due on the 1st February for all firms that transact private motor business.

Handling client money is one of an insurance broker’s most important tasks – and the FCA will have little sympathy for any firm failing to follow client money rules. Peter Stokes provides a reminder on what you need to know.

The FCA has recently issued a ‘Dear CEO’ letter to all regulated firms regarding the matter of financial promotions.

The FCA has updated its webpages on Brexit.

Robin Wood discusses why insurance brokers have a duty to understand the Ivory Act 2018.

The team at RWA has compiled its quarterly review of the Financial Conduct Authority's communication documents, covering the period from October – December 2018.

From January 2019, Aviva Development Zone users will notice some improvements to the monthly assessments. 

The FCA have banned a UK investment professional from acting as a non-executive director for ‘failing to act with integrity’ – so what are the duties of insurance intermediaries regarding conflicts of interest? 

Terence Clark takes a look at two new terms which have entered the regulatory dictionary: ‘Fair and Personal Analysis’ and ‘Personal Recommendation’.

Get RWA Insight In Your Inbox

Regular business news and commentary delivered direct to your inbox each week. Sign up here