Regulatory essentials
CII members have access to the following regularly updated fact files on regulation.
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
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 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
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
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 Ltd
Rewritten and updated 2010 onwards by Ian Youngman, ACII
Freelance insurance writer and researcher
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
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,
Chief executive, Society of Mortgage Professionals
