Free Compliance Tool
A free self-assessment to help identify potential gaps across Consumer Duty, complaints handling, record keeping, and more — built for insurance brokers, MGAs, and claims handlers.
This tool is not approved or endorsed by the FCA. It provides a high-level self-assessment only and is not a substitute for professional compliance advice, a formal regulatory audit, or legal counsel. Your firm remains responsible for its own compliance obligations.
A high-level indication of your compliance posture across six key regulatory and compliance areas relevant to insurance operations.
Overall and per-category percentage scores with colour-coded risk ratings — see exactly where you stand.
Identify which of the 6 regulatory and compliance areas are strong and which may need attention.
Specific, practical steps to improve your compliance posture in each area — not generic advice.
6 Key Areas
Covers FCA handbook requirements and broader UK regulatory obligations relevant to insurance operations.
FCA's Consumer Duty requires firms to deliver good outcomes for retail customers across products, price, support, and communications.
DISP rules require firms to handle complaints fairly, promptly, and within specified timeframes, with proper escalation to the Financial Ombudsman Service.
FCA rules require firms to maintain adequate records of all regulated activities, with audit trails that demonstrate compliance and support regulatory requests.
UK GDPR and the Data Protection Act 2018 (not FCA rules, but applicable UK law) require firms to protect personal data with appropriate technical and organisational measures.
The Money Laundering Regulations 2017 (UK law) and FCA financial crime rules (SYSC 6.3) require firms to have proportionate systems and controls to prevent financial crime.
The Senior Managers & Certification Regime (SM&CR) requires firms to have clear accountability, proper governance structures, and robust management information.
