FCA Protection Insurance Broker Documents

Within this section you will find the FCA Protection Insurance Broker documents and guidance you need to ensure you carry out an advised or non advised process compliantly. All our documents have been updated to meet the Insurance Distribution Directive requirements.  If you have queries on this topic please contact us directly on 01254 675 674 or email compliance@ecompli.co.uk

Please note our Protection Insurance Manuals below contain an easy step, end-to-end process starting with when you need to supply the Disclosure Document to producing a Statement of Demands & Needs. If your firm has recently taken on new advisers/consultants then this manual is a must read as it will give them in depth procedures regarding their compliance obligations and why it is important to adhere to them.

Protection Insurance Advice Process Manual

This manual has adopted these rules to assist firms deliver the objectives of the regulator.  It includes a step by step process of the advised procedure that even someone new into the industry should be able to follow and grasp a good understanding of what is required of an Adviser.

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Protection Insurance Non-Advised Process Manual

This manual has adopted these rules to assist firms deliver the objectives of the regulator.  It includes a step by step process of the sales procedure that even someone new into the industry should be able to follow and grasp a good understanding of what is required of them when arranging an insurance policy.

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Protection Insurance Disclosure Document Bundle

Within this bundle you will find guidance on creating compliant disclosure documents under the Insurance Distribution Directive.  The example Disclosure Documents (DD) provides two different ways of disclosing a firm’s information to a customer.  Depending on your firm you may wish to choose the second example which puts key information into circles so that they stand out to the customer.  Whichever, you choose is up to you, but we like to offer something different to the norm.

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Protection Sales Process Bundle

This bundle is designed to help Brokers obtain facts about their customer to satisfy the ‘know your customer’ rules.  There is also a selection of template letters that Advisers can use depending on the type of protection insurance recommended.  Our letters have been designed with simplicity in mind so that under each section you can simply select the relevant paragraph and delete the rest.  We always emphasis that a letter should say why you have recommended the product, insurer, sum assured, term, etc.  Therefore, our letters adopt this style. We have also produced a non advised letter as an example in case you do not give advice.

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