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Case Study: directly authorised protection broker

Prima Financial

 

A company with 10 advisers and a £1.5 million turnover approached us seeking to become directly authorised with the FCA. They were, at the time, a trading style of a directly authorised protection broker. This was a large operation that required management of the FCA application and comprehensive compliance training for each adviser including coverage of the Insurance Distribution Directive (IDD), data protection and Senior Managers and Certification Regime (SM&CR) training.

 

In addition, we provided all the support and guidance required in their new role trading as their own separate entity, including all procedural templates and stationary. Today we continue to provide them with ongoing compliance support, advice on FCA regulations, standing data checks, file checks, quarterly reviews and more.

 

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