Compliance Manual: A Trusted Source of Reference

Compliance Manual

The regulations are lengthy, complex and sometimes difficult for individual firms to interpret. We therefore provide a trusted source of reference through our market leading web-based Compliance Manual and supporting library of documents, updates and templates. This is a key element of the services we provide to our clients, and it is the product of many years knowledge and expertise.

Market leading web-based Compliance Manual

Firms can use it to research specific aspects of compliance, determine what the implications are for their business and review potential solutions. Each of the specific topics are backed up by a wealth of supporting documentation, such as template letters, plans and forms. Detailed regulatory bulletins are also stored within the manual, which is updated following each regulatory change.

  • Compliance Manual
    The Manual is conveniently broken down into chapters which largely mirror the Financial Conduct Authority sourcebooks.  We further break topics down into more bite-sized topics to make it easier for users to find what they need.  We provide links to the relevant external websites and sourcebooks, so users who might want to dig a bit more deeply can easily do so.  The Manual sets out the rules, explains what the rules mean and how these will impact on a broker’s business.  Again, our aim is to give practical advice that brokers can readily implement in their business.
    Click here to go to the log in page for our Compliance Manual.
  • Downloadable Documents
    This is the extensive library of supporting documents which underpins each chapter of the manual.  It can include anything from a complaints process with a full suite of compliant complaint response letters, to a template terms of business, compliant new business and renewal letters, and a practical guide to completing the Retail Mediation Activities Return (RMAR).The documents are stored in relation to the relevant chapter but links are also embedded in the text to make it easier for users to find what they need.  Our clients find this online library especially valuable because it provides a framework of tried-and-tested compliant documents for them to readily pick up and use, thus saving valuable time by not having to start from scratch each time.

Speak to the UKGI team to find out how we can help…

“We have found UKGI to be an invaluable stakeholder in Wrisk. Their technical expertise, their responsiveness, and their cultural tone of voice work really for us. Unreservedly recommend them”

“Crixus Insurance Brokers have worked with UKGI for approximately three years now and we have been more than happy with their professionalism and knowledge on all compliance matters – their team is always friendly and keen to assist.”

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.