Compliance Framework and Documentation

Who needs compliance documentation?

We provide compliance documentation services to:

  • Insurers
  • Underwriting Agencies
  • Lloyd’s coverholders
  • Insurance brokers
  • Third Party Administrators
  • Claim Managers
  • Claimant Intermediaries
  • Insurtechs
  • Insurance fulfilment providers
  • Claim service suppliers
  • Discretionary Mutual Funds

Why your business needs compliance documentation

Compliance documentation provides evidence that your business is meeting regulatory requirements. We help provide a simple and tailored approach to give your board, business partners and the regulators confidence that your compliance measures are adequate to meet your regulatory and GI Code of Practice obligations.

We take away the headaches for you. There is no need for you to struggle with developing compliance documentation. Our compliance documents are user-friendly and can be used for training and education purposes while providing evidence of compliance.

Find comfort and confidence in knowing that your business is organised and managed at a high standard with our compliance documentation services

Types of Compliance documentation we provide:

We provide all key compliance documents including:

  • Compliance Manuals & Frameworks
  • AFS Licence and GI Code of Practice compliance manuals
  • Internal Policies
    • Breach Management
    • Conflicts of Interest
    • Outsourcing
    • Conduct or distribution management
    • Customers experiencing vulnerability
    • Monitoring & Supervision of representatives
    • Complaint Management (incorporating RG 271)
    • Responsible Managers
    • Risk and compliance management
  • Registers
    • Obligations management
    • Complaints
    • Incidents & Breaches
    • Training
    • Conflicts of Interest
  • External policy (for your website)
    • Family Violence
    • Customers experiencing vulnerability
    • Target market determinations