Head Office
103-105 Brighton Road
T: 020 7206 2664
No. of consultants: 4-5
Geographic area covered: UK
  • National

Compliance Management Services Limited

Compliance Management Services Ltd was established in 2003 to provide compliance and support services exclusively to general insurance brokers and intermediaries. Compliance Management Services Ltd provides compliance solutions that are tailored to its clients' requirements. The company only uses qualified consultants with a background in the insurance industry and at least five years' experience of compliance and audit work in the insurance broking sector. Support is provided through on-site visits, as well as telephone and email contact. Clients are also kept informed of significant regulatory developments, including revisions to rules and procedures. In addition to compliance and support services, the company offers a number of stand-alone services including file audits and pre-acquisition compliance due diligence. We provide a comprehensive compliance consultancy service that is targetted at the needs of General Insurance Intermediaries.

types of client firm served:

  • Insurance Brokers - General
  • Insurance Brokers - Pure Protection Products
  • Lloyds
  • Secondary Intermediaries
  • Third party product providers

services offered:

  • Advice pre regulatory risk assessment or supervision visit
  • Authorisation -FCA
  • Client Assets
  • Complaints Handling Reviews
  • Compliance advice
  • Compliance Support
  • Compliance Training
  • Documentation
  • Due Diligence
  • Enforcement Action - Financial Services
  • File Review
  • Health Checks
  • Mis-selling Reviews
  • Money Laundering/Financial Crime Advice and Reviews
  • Regulatory Returns Assistance
  • Regulatory Updates