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Chartered Insurance Institute
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Regulatory Essentials


Please note that, due to recent regulatory changes and restructuring of the FSA, our factfiles are being widely updated and rewritten. The information on this page may be out of date or incorrect.

For information on the changes please refer to the Financial Conduct Authority website and/or that of the Bank of England's Prudential Regulation Authority.

CII members have access to the following regularly updated fact files on regulation. These range from the regulation of insurance companies, general insurance business, general insurance intermediaries and regulation of mortgage business. 

A full list of CII factfiles can be viewed here.

The regulatory framework »

A guide to the regulatory framework for insurance and other financial services in the UK and issues affecting all regulated firms and classes of business. Includes sections on the FSA's approach to regulation, the Handbook, disciplinary issues, dispute resolution and compensation.

By Simon Collins, DipPFS

Managing director, retail, Resources Compliance 

The regulation of insurance companies »
Looks at the authorisation of insurance companies and prudential requirements covering capital resources, valuation of assets, operational risk, annual returns etc. Covers all reporting requirements. Originally written by Tony Wiltshire, FCII, ACIS, Chartered Insurance Practitioner, Director, FSA Consulting Ltd.

Rewritten and updated 2010 onwards by Ian Youngman, ACII

Freelance insurance writer and researcher

The regulation of general insurance business »
Focuses on the regulation of business conduct with respect to general insurance and protection-only life contracts and both insurers and intermediaries. Covers the Insurance: Conduct of Business Sourcebook, training and competence requirements, treating customers fairly and related rules.

By Tony Wiltshire, FCII, ACIS, Chartered Insurance Practitioner, Director, FSA Consulting Ltd

Rewritten and updated 2010 onwards by Ian Youngman, ACII
Freelance insurance writer and researcher

The regulation of general insurance intermediaries »
How insurance brokers and other general insurance intermediaries are authorised and the prudential requirements on capital, professional indemnity insurance and client money.

By Tony Wiltshire, FCII, ACIS, Chartered Insurance Practitioner, Director, FSA Consulting.

Rewritten and updated 2010 onwards by Ian Youngman, ACII

Freelance insurance writer and researcher

The regulation of investment intermediaries » 
How investment intermediaries are authorised and the prudential requirements on capital, professional indemnity insurance and client money.

By Tony Wiltshire, FCII, ACIS, Chartered Insurance Practitioner, Director, FSA Consulting Ltd

Updated 2010 onwards by Kevin Morris, Independent Compliance Consultant
K&M Consulting 

The regulation of mortgage intermediaries (prudential requirements) »

By Brad Baker MBA, FCIB, CeMAP, BSc. Director of Repucare Limited.

The regulation of mortgage business »
A guide to the regulation of the conduct of mortgage business with respect to both lenders and intermediaries. Covers the Mortgage: Conduct of Business Sourcebook, training and competence requirements and related rules.

By Richard Fox, FCIOBS, FCIB, former Chief Executive, Society of Mortgage Professionals

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