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Documenting Your Compliance Measures

We translate your obligations into clear, business-fit compliance documentation—manuals, monitoring programs and registers—that staff (and authorised representatives) can actually use and that also evidences your compliance framework to regulators and stakeholders. The documentation is tailored to what you do and how you do it, including capturing AFSL, prudential/binder and Code requirements where relevant.

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Documentation is critical

Documentation is positioned as “critical” both as evidence of compliance and to support staff in meeting requirements

Tailored to your business

Deliverables are “tailored to your business – what you do and how you do it

What Value Will You Get

Evidence of compliance

Creates artefacts that evidence compliance arrangements covering financial services laws, Code, Binder, Lloyds requirements compliance arrangements and monitoring and oversight.

Improves defensibility

Improves defensibility if issues arise (including whether compliance arrangements were “inadequate”) and evidence of compliance to business partners such as insurers and Lloyd’s underwriters.

Documentation

Includes Risk & Compliance Manual, Monitoring Program, Registers, Financial Crime Policies and BCP.

Who Is It For

We design and create compliance documentation for businesses across the general insurance sector, including

  • Insurance brokers
  • Underwriting Agencies
  • Delegated Claim Administrators and Insurance Claims Managers
  • Claimant Intermediaries
  • Insurers

How It Works

Initial Consultation

We review what documentation exists and identify the gaps against your obligations.

Translate into controls

We design business-fit manuals, policies/procedures, monitoring programs and registers that reflect “how you do it”.

Document and tailor

We draft the manuals/registers/policies (financial crime etc) in a usable operational form

Implement and maintain

We can help to embed into BAU, allocate owners, and update as business/regulation changes

Why Compliance Advocacy Solutions

Licenses obtained and varied
1 +
Years of experience in financial service law
1 +
Client satifaction rate
1 %

Ray Giblett (Partner) and Timothy Chan (Associate) – Norton Rose Fulbright Australia

Our experience working with Paul Muir has been nothing short of exceptional. Clients trust Paul with major compliance projects as well as ad-hoc queries and he always gets the job done. It could range from a licensing query one day to a distribution query the next. Paul is very responsive and well-connected in the industry. He has a knack for making things simple – as Leonardo da Vinci put it, ‘simplicity is the ultimate sophistication’.

James Frape – CEO at Compass Cars

Engaging Paul to help us navigate through new and unchartered waters was so easy. Nothing was a problem for Paul and he delivered on time every time, with clear points on how to proceed. Such a delight working with someone who made something that appeared complicated very straightforward.

Frequently Asked Questions

Generic templates describe generic businesses. Regulators and business partners want documents that reflect what you actually do, and a template rarely survives a real query because it was never built around your operations in the first place.

Yes. We can assess your existing documentation, identify what’s outdated or missing, and update it rather than starting from scratch.

It depends on your licence, your business model, and your role in the distribution chain. We assess what applies to you in the initial consultation rather than selling a one-size-fits-all pack.

A health check often finds that missing or outdated documentation is the root cause of other compliance issues. Where that’s the case, we build or update the specific documents your business needs.

Do you have evidence of your compliance arrangements?

If not, that’s the gap most likely to trip you up. Let’s fix it.

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