Regulatory Compliance Platform

Client

The client is an insurance services provider offering a digital platform for FCA-approved and global insurance intermediaries to help them streamline their compliance processes, cut costs, and facilitate business dealings between counterparties.

Regulatory Compliance Platform

Highlights:

  • Integration with FCA, Companies House, and HM Treasury for regulatory compliance process automation.
  • TOBA template issuance and management.
  • Service contract preparation automation speeds up the onboarding process.
  • Databases with key regulatory, financial and corporate information on market intermediaries are updated automatically.
  • Accurate reporting on existing broker ecosystems and efficient monitoring of updates that can affect due diligence statements.

Benefits:

  • Smooth regulatory reporting and due diligence for insurance companies.
  • Single place for unified reports that are compliant with authorities’ requirements.
  • Integration and maintenance costs optimized by cloud-based infrastructure.
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