Client money

Client money

The brief After undergoing a CASS audit, a retail insurance intermediary was required to commission a Skilled Person to review the firm’s processes, controls and governance and assess their compliance with CASS 5 rules.  Responding to two key findings in the Skilled...
Governance review and remediation

Governance review and remediation

The brief Our client had become concerned about the robustness of a newly acquired subsidiary’s governance and compliance arrangements. UKGI was brought in to identify any areas of weakness and to support the subsidiary, a general insurance wholesale intermediary and...

UKGI is a trading style of UKGI Limited and UKGI Services Limited which are wholly owned subsidiaries within UKGI Group Ltd. UKGI Limited acts in compliance services and UKGI Services Limited acts in support services. UKGI Services Limited is a wholly owned subsidiary of Total Broker Solutions Limited, which is an appointed representative of Resolution Compliance Limited, which is authorised and regulated by the Financial Conduct Authority (FCA) under reference number 421154. UKGI Limited Registered in England No. 03544014. UKGI Services Limited registered in England No. 04953835. All Registered Offices Number 22 Mount Ephraim, Tunbridge Wells, England TN4 8AS. VAT registration number 347 2664 82.