Services
Support that starts with what you need.
You may need help keeping recurring compliance work on track, or support preparing a licensing or registration application. We begin by understanding the need, then agree the responsibilities, boundaries and practical outcome.
Ongoing compliance support
Make recurring compliance work more manageable.
Your retainer can cover an agreed mix of recurring and responsive work, such as:
- Maintaining a practical compliance calendar.
- Supporting regulatory submissions assigned within scope.
- Reviewing and maintaining selected policies and procedures.
- Supporting monitoring, management reporting and training.
- Responding to agreed categories of regulatory query.
The proposal explains the frequency, ownership, information needed, exclusions and escalation points. You keep management responsibility, and the support is limited to the scope we agree.
Discuss ongoing supportLicensing & registration support
Prepare your application with a clear plan.
Depending on the agreed scope, we can help with initial scoping, a document checklist, drafting, selected supporting policies and responses to regulator queries.
You remain responsible for the business plan, the accuracy and completeness of submissions, your people and operational readiness, and every representation made to the regulator. No licence, registration, outcome or timeframe is guaranteed.
For prospective registered insurance brokers, we can help assess the proposed business model and management team, prepare a registration workplan and supporting regulatory documentation, and plan the compliance framework needed after approval. We agree the preparation scope before work starts.
Support by sector
Find the page for your type of firm.
Each sector page explains how support may be scoped, what normally remains outside it and which questions we will need to discuss.
Start with a conversation
Start with a focused conversation.
Share the immediate issue, ask initial questions and see whether there is a sensible basis for an engagement.
Discuss your requirements