What were we asked? UKGI was approached by a general insurance intermediary looking for compliance support around the appointment of a new Senior Manager following the retirement of the incumbent role holder. The focus was on ensuring the firm was continuing to act...
This is a slightly unusual case study. The time for writing up a case study normally comes when a project is done and dusted, signed and sealed, wrapped up and put to bed. But this one is a work in progress. We’re doing it this way because, at the time of writing in...
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...
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...
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