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.

CASS - Client Money & Client Assets

The Client Assets Sourcebook (CASS) outlines a firm's duty to separate its assets from a client's and safeguard these assets. CASS rules cover client money and client assets.

Our CASS for Client Money and Client Assets Course explains the FCA's rules for administering these client assets with a focus on both custody and client money rules.

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. 

Conduct Rules for Certified Persons

Certified Persons are individuals in roles outside of senior management who could still cause significant harm to a firm or its customers by breaching SMCR rules.

This SMCR Conduct Rule course helps your Certified Persons to learn about the five Individual Conduct Rules they must adhere to, their contraventions, and their application in practical situations.

Conduct Rules for Senior Managers

Senior Managers are required to comply with the FCA's five Individual Conduct Rules (ICRs) and four Senior Managers Rules (SMRs). They also need to take 'reasonable steps' to prevent breaches.

This SMCR Conduct Rule course helps your Senior Managers to learn about these rules, their contraventions and their application in practical situations.

Conflicts of Interest in Insurance

The management of conflicts of interests 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.

Fair Treatment of 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 Fair Treatment of Vulnerable Customers Course will help your employees to better identify, understand and address the needs of those in vulnerable circumstances.

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 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.

Non-certified Person Conduct Rules

One of the cornerstones of the SMCR is a set of five Individual Conduct Rules (ICRs) that apply to all individuals working in financial services.

This SMCR Conduct Rules course helps Non-certified Persons learn about ICRs, their contraventions and their application to practical situations relevant to their roles

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 (FCA)

Educate your employees on the FCA's 11 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.