Insurance Brokers & Agents

Insurers, Insurance Intermediaries & Brokers

At Regulation & Compliance Office, we provide compliance services for Insurers, Insurance Intermediaries & Brokers to implement effective compliance structures that meet the requirements under the Anti-Money Laundering and Financial Conduct Authority’s (FCA) regulations.

Regulation & Compliance Office’s experts have worked alongside the insurance industry for an extended period of time. We also have ACII qualified staff who have considerable knowledge of the industry and can apply it to constructing effective compliance strategies that work for all Insurers, Insurance Intermediaries and Brokers.

We help Insurers, Insurance Intermediaries and Brokers build a compliant structure through an efficient regulation programme that protects both staff and the business as a whole.

Our services for Insurers, Insurance Intermediaries and Brokers:

• Anti-Money Laundering (AML) and Counter Terrorist Financing (CTF) compliance
• GDPR and Data Protection compliance
• Regulatory investigations
• Complaint investigations, management and handling
• Bribery Act 2010 compliance
• Treating Customers Fairly compliance
• Employment Regulations compliance

Visit the services page for more details, where you will find more detailed information on how we work with Insurance Brokers & Insurance Agents.

To enquire about our services and how Regulation & Compliance Office can work with your business, call us on 0203 985 8550 or email us at info@regulationandcomplianceoffice.co.uk