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.
By Tony Wiltshire, FCII, ACIS, Chartered Insurance Practitioner
Director, FSA Consulting Ltd
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
How insurance brokers, other insurance intermediaries, financial advisers and mortgage brokers are authorised and the prudential requirements on solvency, professional indemnity, client money etc. Covers all reporting requirements.
By Tony Wiltshire, FCII, ACIS, Chartered Insurance Practitioner
Director, FSA Consulting Ltd
Focuses on the regulation of business conduct with respect to packaged investment products (life and pensions, unit trusts, individual savings accounts etc) and both product providers and financial advisers. Covers the 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
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
