Compliance update workshop


We are looking forward to meeting the delegates at the compliance update workshop tomorrow at the King Street Town House in Manchester

The theme of our Compliance update work shop is BRAVE NEW WORLD

Looking at what firms need to do in practice for SMCR with only a few days to go to the deadline…conduct and culture and what’s on the regulatory horizon

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Compliance Officer Course – FULLY BOOKED

Once again our ever popular 2 day Compliance Officer course, due to take place on the 14th and 15th November is now FULLY BOOKED. We will announce dates for our next one soon….

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Dealing with Vulnerable Customers – one day workshop


Course Objectives

At the end of this on day workshop delegates will be able to understand why dealing with Vulnerable Customers properly is important; be able to explain the different types of vulnerability; know how to identify Vulnerable Customers and explain ways of dealing with them. They will also understand the skills required to be able to deal with potentially difficult situations. Delegates will gain knowledge of the FCA requirements and be able to explain the consequences of not having appropriate governance and controls in place.

Topics covered during the day

  • What is a Vulnerable Customer?
  • The rules and FCA focus on Vulnerable Customers
  • Why this is important and why firms need to take seriously – including a look at culture?
  • Identifying Vulnerable Customers
  • Dealing with Vulnerable Customers – and how to deal with them properly
  • A look at Behavioral Economics
  • Responsibility, Governance and Procedures
  • The importance of staff training in how to deal with Vulnerable Customers
  • Consequences of not dealing with Vulnerable Customers properly – fines, reputational damage etc.
  •  Other considerations – Third parties, appointed representatives, outsourcing, due diligence, risk management

Who should attend?

  • Managers/Supervisors/Team Leaders
  • Those working in Compliance, Risk, Complaints, Sales, Training and Operations
  • Directors and Approved Persons

When and where?

29th January 2020 (Manchester City Centre – exact location to be announced)

9.00am registration for a 9.30am start finish at 4.00pm

The Cost

£235 plus vat (lunch and refreshments provided)

For future dates on this course or to discuss holding ‘in house’, please contact or call 0161 870 6637

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Book your place now…


“Brave New World”

Save the Date - Compliance Update Workshop  4th December 2019

Start 9.00am registration 9.30 start – 12.30pm

Venue: King Street Townhouse, Manchester

 The theme of the event is “A Brave New World”

The General Insurance Industry is now entering a brave new world. On the 9th December the Senior Managers’ regime will apply to all firms authorised by the FCA.

By now all our clients will be ready for the transition. They will have the correct senior managers in place and statements of responsibility written and filed away.

This is just the beginning. Next year Senior Managers will be more accountable for what happens in their business.

This workshop will cover the following:-

  •  What the FCA have been up to this year – a recap
  • What will happen next year
  • What the Senior Mangers regime will mean in practice
  • How the code of conduct applies
  • What it will mean for staff next year
  • Governance failures – case study examples
  • Culture failures – case study examples

A light breakfast will be served. Our clients are also invited to join us for a Christmas drink and refreshments afterwards in the bar.

Please also let us know if you have any special dietary/other requirements.

To book your place please contact

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SMCR half day course…


It’s now countdown time to the Senior Managers and Certification Regime – Are you ready? Half day course 1st October in Manchester City Centre Ready or not, the new FCA Senior Managers and Certification Regime comes into force on the 9th December 2019.

Viewed as one of the biggest changes to the UK regulatory landscape in recent years, we can help you understand what it means for you and your firm and how to be ready for it. The FCA want a “step-change”, a focus on improving the purpose and culture of firms and the way they behave. They are looking for business leaders to “step up”.

What does that mean for your business? Come and find out at our workshop in Manchester City Centre on the 1st October.

Call 0161 870 6637 or email

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Commercial Property Insurance – one day course…


About the course:

This is ideal for those who work in commercial insurance and deal with property claims, including Brokers, Underwriters, Claims staff and Loss Adjusters/Assessors. It is great for those who have not had any formal training in this area, or just need to ensure their knowledge is up-to date in this area. It will give delegates a knowledge boost and ultimately increase the delegates confidence.

At the end of the courses delegates will have a better knowledge and understanding of:

• How to guide a client on correctly setting buildings, contents and stock sums insured.

• The difference between the figures needed for insurance and those the client puts in their balance sheet

• The different types of property cover, day one, reinstatement, indemnity and obsolete building

• What is and is not covered by an All risks wording

• The claim implications when the cover is set incorrectly

Course Date: 3rd October 2019

Course Time: 9.30-4.00pm

Course Venue: Manchester

For further details or to book your place phone 0161 870 6637 or email

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FCA release Consultation Paper


We have today published our Consultation Paper ‘Guidance for firms on the fair treatment of vulnerable consumers’ . We are consulting on new draft guidance for firms that sets out the FCA’s view on what firms should be doing, under our Principles for Businesses, to ensure that vulnerable consumers are consistently treated fairly across financial services sectors.

 We will send communication to clients with further details shortly…..

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FCA warns of Moneysupermarket clone

The aggregator is the latest firm to be targeted by fraudsters.

The Financial Conduct Authority (FCA) has issued a warning that price comparison website Moneysupermarket has been cloned.

Fraudsters have been attempting to trick customers by pretending to be the aggregator.

The regulator warned that scammers may use Moneysupermarket’s real details to fool customers, including the aggregator’s FCA firm reference number

To read the full article click here…

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FCA publishes Annual Report and Accounts 2018/19


To read the article and see the report please click here….

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FCA warns of UK General clone


Fraudsters have been trying to trick consumers by using UK General’s name.

The FCA has warned that fraudsters are using the details of UK General Insurance Limited.

An alert from the regulator cautioned that the Leeds-based provider has been cloned. Scammers have been attempting to conduct authorised business under its name.

The FCA warned customers that fraudsters may use the firm’s reference number to appear legitimate to customers.

To read the full article please click here….

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