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Home » Training » Compliance and regulatory » Regulatory business conduct (Advising, selling and administering)
 

Regulatory business conduct (Advising, selling and administering)

Understand and apply the standards for advising, selling and administering general insurance product. The standards and rules, principally in ICOBS, differentiate between advised and non-advised sales. The regulatory rigour also depends on product characteristics: Protection products or other products.

This one day course also explores the influence of other regulatory themes, and the impact on operational and business risks.

Benefits

  • Explain the regulatory principles, high level standards and rules which govern the sale and administration by insurers of general insurance products
  • Assess and apply the standards for financial promotions
  • Explore the practical issues of implementing principles-based regime
  • Describe the relationship between ICOBS and Treating Customers Fairly and Conflicts of Interest
  • Identify how regulatory failure can amplify the consequences of Errors and Omissions.

Who should attend?

Compliance officers, operational managers and marketing professionals.

Programme

  • The context, scope and application of the Insurance Conduct of Business Sourcebook (ICOBS) requirements
  • How it is a differentiated regime
  • Applying the rules to prospective and new customers
  • Know what information must be provided to customers
  • Terms of business agreements, fact finding, demands and needs
  • A joined up approach to ICOBS, TCF and Conflicts of Interest
  • Case Study
  • Incorporating ICOBS obligations as best practice sales process
  • Incorporating ICOBS obligations as best practice sales process
  • The developing legal landscape: ICOBS breaches and professional indemnity - Errors and Omissions.

6 CPD hours

Attendance at this event awards up to 6 CPD hours where you consider it relevant to your professional development needs.

Book online

Members
£240.00
Standard
£280.00

Regulatory business conduct (Advising, selling and administering)

Compliance and regulatory courses

Corporate management
Financial crime (introductory)
Financial promotions
Handling client assets and money (financial services)
Handling client assets and money (insurance)
Information disclosure: DPA and FOI
Introduction to insurance financial and operational risk management
Managing conflicts of interest
Managing the risk of errors and omissions
Preparing for ARROW visits
Regulatory business conduct (Advising, selling and administering)
Responsibilities of approved persons in significant influence functions
Roles within compliance
Solvency II - one day course
Solvency II - two day course
Treating Customers Fairly (TCF)
 
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