FCA Compliance

Create Solutions have been established over 10 years are one of the leading General Insurance Compliance consultancies in the UK

We provide support and advice to firms regulated by the FCA, or seeking authorisation.

We offer a range of services, and work with clients to provide solutions that are specifically designed to suit them.  We personally do not believe in the one size first all or tick box approach.

Many of our clients benefit from our ongoing compliance support, and others engage us to work on specific projects.

To give you an indication of what compliance services we offer

  • Help with FCA applications and Variations
  • Compliance health checks/period reviews
  • Help with Gabriel returns and ONA
  • Guidance on the BRAW process and the ON Line Assessments
  • Reviewing documents/websites and other financial promotions
  • Review Insurer TOBA’s
  • Monitoring of Appointed Representatives
  • Regular newsletters and updates
  • Access to our Compliance Library (a suite of documents, guidance and templates)
  • Reviewing documents and procedures
  • Access to our on line training modules
  • Face to Face training for senior managers and staff on regulatory topics
  • Help with implementing and reviewing Training and Competency plans
  • Staff Competency checks
  • Compliance Update seminars
  • Helping firms design and implement a compliance plan
  • Independent advice and opinion on complaints
  • Audits of specific areas (e.g. TCF, Complaints, Sales)
  • Helping firms implement a Risk Management programme
  • Help desk (telephone and email )
  • Guidance to firms if they are subject to a supervisory or theme visit  or any other investigation
  • Audits and checks of specific areas of the business (for example, TCF, Handlijng compiants , sales ) Helping firm implement a Risk Management Programme
  • Help and guidance if the firm is called upon for FCA visit or investigation (Theme, supervision etc)
  • Employee or Customer Due Diligence – provided by Objective Screening