Appointed Representatives Regulatory Responsibilities for Insurance Firms
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20 Minutes -
For all staff
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UK
Appointed representatives must understand the FCA rules that govern their work and how to deliver fair customer outcomes. Your firm remains accountable for the activities of its appointed representatives. Gaps in oversight can leave conduct risks unchecked and create a disconnect between your standards and the customer experience. Our in-depth Appointed Representative Regulatory Responsibilities Training for Insurance Firms explains the FCA Principles for Businesses, practical risk management techniques and conduct risk, including its link to treating customers fairly.
Give your network the knowledge to apply regulatory requirements in their day-to-day decisions and customer interactions. This in-depth insurance compliance e-learning helps appointed representatives understand their responsibilities, manage risks and apply fair treatment principles.
What you’ll learn in
this course
- Explain the FCA's Principles for Businesses and how they are relevant
- Explore risk management techniques
- Discuss Conduct Risk and how it links to Treating Customers Fairly
- Explain the rules surrounding financial crime and anti-money laundering
- Understand why effective handing of complaints is important
- Discuss the importance of record keeping and the provision of management information (MI) to the principal firm and how the MI assists oversight from the principal firm
- Understand why maintaining knowledge and competence leads to good customer outcomes
- Highlight the importance of the segregation of client moneys (CASS 5.5)
- Explain the FCA's expectations in respect of safe keeping of client documents and other assets (CASS 5.8)
Hear from our customers
Feefo Customer Rating ★★★★★ 4.9/5
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First Aid Awareness
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Fraud Prevention E-learning Course
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Information Security Compliance Training Course
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General Office Hygiene
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Equality and Diversity E-learning Course
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