Insurance Compliance Training Courses

An Introduction to Solvency II

Solvency II introduced a new, harmonised EU-wide insurance regulatory regime. This course will enable your employees to familiarise themselves with, and better understand Solvency II.

Appointed Representatives Regulatory Responsibilities

The FCA expects companies to ensure all their appointed representatives are aware of the provisions within the FCA handbook that apply to them. This course outlines the comprehensive regulatory responsibilities of an appointed representative.

About our Insurance Course Library

Our Insurance Course Library provides 30+ FCA compliance courses tailored for the insurance sector.

As with our FCA Compliance library, these courses protect firms and individual employees through coverage of the FCA Handbook and practical exercises, rigorous assessments and affirmations.

Approved Persons

Senior Managers obtain approval to carry out a Senior Management Function (SMF) from the FCA. The Statements of Principle and the Code of Practice for Approved Persons still apply to Appointed Representatives (AR).

Our Approved Persons course outlines how the FCA's Approved Persons regime (APER) applies to you as an Appointed Representative of the Firm.

CASS 5: Insurance Distribution Activity

CASS rules apply to money belonging to all clients. Clients are classified as retail, commercial, professional and any other eligible counterparty.

Our CASS 5: Client Money - Insurance Distribution Activity course provides an overview of CASS 5 which are the client money rules that apply to insurance distribution.

CASS 8: Mandates

Under the requirements of CASS 8, you must understand what a mandate is and how to deal with them. Learn your responsibilities and how you can fully comply with the FCA's rules.

Our CASS 8: Mandates Course provides a high-level introduction to the information that you need to know to comply with the provisions of CASS 8: Mandates.

CASS 9: Information to Clients

Under the requirements of CASS 9, you are required to pass on certain information to clients, particularly where prime brokers, custody assets and client money are concerned. Learn what your responsibilities are and how you can fully comply with the FCA's rules.

Our CASS 9: Information to Clients Course provides a high-level introduction to the information you need to know to comply with CASS 9: Information to Clients.

CASS Overview

The FCA's Client Assets Sourcebook (CASS) supports Principle 10 of the FCA's Principles for Businesses. This Principle states that firms must arrange adequate protection for clients' assets.

Our CASS Overview Training Course explains the rules surrounding the protection of client money and client assets, as well as how to apply these rules in your day-to-day work.

Claims Handling - General Insurance

Insurers, or individuals acting for them, must treat customers fairly when handling claims. This course enables your employees to understand and learn the basic claims handling process found in the General Insurance sector, as well as its regulatory requirements.

Complaints Handling

Educate your employees on how to receive and handle complaints from retail clients in the financial services sector.

CONC - Consumer Credit Regulations

The FCA's Consumer Credit sourcebook (CONC) applies to all firms engaged in credit-related regulatory activities in the UK. This includes firms involved with debt counselling and credit broking.

Our CONC - Consumer Credit Regulations Course explains the FCA's Conduct of Business Rules for consumer credit firms and how these impact daily operations.

Conduct Risk

Our Conduct Risk Course covers the right way your employees should conduct themselves, from the way they treat customers, incentivise staff, deal with conflicts of interest, to how they develop products and sell them.

Educate your employees on the conduct risks they may encounter in day-to-day business and how to manage them.

Conflicts of Interest Insurance

The management of conflicts of interest is understandably high on the FCA's conduct risk agenda.

Educate your employees on how conflicts of interest in the insurance sector can arise and how such conflicts should be managed.

Contract Certainty

Contract certainty was developed in response to regulatory concerns about the 'deals now – details later' culture of the insurance industry.

This course enables your employees to familiarise themselves with and better understand the principles of contract certainty within insurance.

Ethical Standards in Insurance & Investment

Educate your employees on the fundamental responsibilities of professionals working in the insurance sector, including the ones they have towards your Company as their employer, as well as customers and third parties.

Good Outcomes for Vulnerable Customers

Companies have a legal obligation to ensure that vulnerable individuals do not suffer any detriment and are given the appropriate level of care.

Our Good Outcomes for Vulnerable Customers Course will help your employees to better identify, understand and address the needs of those in vulnerable circumstances.

Financial Crime Prevention

Financial crime ranges from fraud, tax evasion, bribery, market abuse, insider dealing, and money laundering to terrorist financing.

Our Financial Crime Prevention Training Course will help your employees recognise the various types of financial crime as well as when and how to seek advice or report concerns.

General Insurance Pricing Practices

The General Insurance Pricing Practices signal a new chapter in the FCA's focus on fairly-priced insurance products which provide real value to customers.

Learn what these rules are, how they apply to each role, and how you can use them to provide fair value to customers.

ICOBS - Cancellation & Claims

The Insurance Conduct of Business Sourcebook (ICOBS) applies to all non-investment insurance businesses. ICOBS covers the FCA's rules for cancellation and claims.

Our ICOBS for Cancellation and Claims Course explains the FCA's conduct of business rules for cancellation and claims that apply to the insurance business.

ICOBS - Distance Communications

The Insurance Conduct of Business Sourcebook (ICOBS) for distance communications applies to all insurance firms that engage in distance marketing activity in the UK.

Our ICOBS for Distance Communications Course explains the FCA's business rules for dealing with distance communications in the insurance business.

ICOBS - General Matters

The Insurance Conduct of Business Sourcebook (ICOBS) for general matters applies to all firms engaged in the insurance business. The rules are made up of two levels: high-level and business standards.

Our ICOBS for General Matters Training Course explains how to categorise customers and the FCA's general conduct of business rules for the insurance market.

ICOBS - Providing Information & Advising

The Insurance Conduct of Business Sourcebook (ICOBS) for Providing Information and Advising applies to insurance intermediaries.

Our ICOBS for Providing Information and Advising Course explains the FCA's rules for providing customers with information.

Information Barriers in Insurance

Educate your employees on what Information Barriers are, the different kinds of Information Barriers that exist in the insurance sector, and what laws and regulations they should follow to ensure compliance.

Insurance Act (2015)

The Insurance Act 2015 represents the most significant reform of insurance contract law in the UK for over a century.

This Course will help your employees to understand the key aspects of the Insurance Act. Plus, they'll learn about the provisions surrounding late insurance claims payments enacted as part of the Enterprise Act 2016.

Insurance Distribution Directive (IDD)

The Insurance Distribution Directive (IDD) replaced the Insurance Mediation Directive (IMD) in February 2018.

Educate your employees on the IDD, the key elements of the new Directive and the rule modifications that will be required in day-to-day business.

Introduction to the Consumer Duty

The Consumer Duty is a set of rules that regulated firms need to follow in order to ensure these firms are fair to customers for the entirety of their relationship with them.

Our Introduction to the Consumer Duty Course provides an introduction to the new FCA Principle and the expectations that it sets out.

Introduction to UK Financial Regulation

Educate your employees on how the UK's financial services industry is regulated. They will learn how regulations impact everything at your Company and that compliance with them is an individual, as well as a collective, responsibility.

Managing Compliantly in General Insurance

Educate your employees on the responsibilities they carry as professionals working in the UK's insurance industry. 

They'll learn about the importance of complying  with the rules laid down by the FCA and, where appropriate to your Company, the Prudential Regulation Authority.

Overview of the Consumer Duty

Learn about the FCA's Principle 12 and the rules that flow from it, and see how you can apply Consumer Duty in your day-to-day work.

Our Consumer Duty Training Course provides an overview of the FCA's strategic objectives and how Consumer Duty impacts each regulated sector.

Packaged Retail & Insurance-based Investment Products (PRIIPs) Regulation

The Packaged Retail and Insurance-based Investment Products (PRIIPs) Regulation has applied since 1 January 2018.

Educate your employees on the key points of the PRIIPs regulation including the production and delivery of mandatory key information to retail investors.

Principles for Businesses

Educate your employees on the FCA's Principles for Businesses that apply to financial firms in the UK.

Prudential Regulation

Educate your employees on the Prudential Standards for financial businesses in the UK.

Senior Management Arrangements Systems & Controls

Educate your senior managers on the responsibilities they under the FCA's systems and controls regime for financial services firms in the UK.

Training & Competence

Educate your employees on the FCA's rules for training and competence of staff in the financial services business.

Treating Customers Fairly (TCF)

Educate your employees on the FCA's requirements for Treating Customers Fairly and managing Conduct Risk.

Whistleblowing in Financial Services

Whistleblowing on internal malpractices and external threats is extremely important for the functioning and survival of your Company.

Educate your employees on their responsibility to blow the whistle and the protection given to them if they do so.