FCA regulation of insurance brokers

Loading Map....

Date(s) - 08/06/2017
9:00 am - 1:00 pm



When & Where
8 June London
7 December London

Who should attend?
Staff working in compliance, operations and significant influence functions..

What are the outcomes of attending? 

  • FCA objectives and differentiating between consumer protection and market integrity
  • The FCA’s three supervision pillars, with examples
  • Understanding what a ‘business model’ is and the current challenges to it
  • Culture and strategy
  • Threshold Condition 4 and appropriate resources
  • Updates on existing regulatory themes, from the perspective of conduct and prudential risk – TCF, transparency and disclosure, financial crime
  • Significant influence functions – wider and more explicit accountability
  • Disclosure and Representations Act
  • Looking forward… IMD2.

Learning outcomes

At the end of the course you will be able to:

  • Revise the aim and objectives of the FCA
  • Explain the structure and approach of the FCA supervision model and suggest examples
  • Determine the elements of a broker’s prudential risk and the expectations for how it is managed
  • Explore the key strands on which the FCA will focus: the business model; strategy; culture and product development/distribution
  • Review existing regulatory themes
  • Recognise the implications for approved persons in significant influence functions.

Who is running the workshop?

What have previous delegates said about this workshop? 

How much does it cost?
£150 members
£170 non-members

How do I book?
For bookings, enquiries and updates visit www.cii.co.uk/f2f or call customer service 0208 989 8464

To discuss technical, in-house  and bespoke courses contact Face-to-Face Training on 0207 391 1133 or email face-to-facetraining@cii.co.uk


About Author

Leave A Reply