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Regulation round-up - December 2009

Regulation round up is an email that goes out to all smaller firms each month.
This is the email which went out on 17 December 2009.

Information for all firms

Fees calculator

We have published a fees calculator which will help you assess the impact on the fees you pay of our proposals to change the way they will be calculated for next year (2010/11).  See the key proposals and use our calculator.
Fees calculator

Calculating your fees for 2010/11 – 31 December 2009 deadline for changes to approved persons.

Make sure your data for the number of approved persons in your firm is up-to-date before 31 December 2009, as this could affect the calculation of your fees.
Approved persons – fees

RMAR – Professional Indemnity Insurance (PII) Completing Section E

Some firms experience difficulty filling in part E – below is some guidance.
RMAR Section E

Small Business Practitioner Panel - new web site

The FSA's Smaller Businesses Practitioner Panel provides a voice for smaller firms into the early stages of FSA policy making.  It is asking for comments and feedback on FSA policies via its new website - do take a look
Small Business Practitioner Panel

One minute guide - Financial Services Compensation Scheme (FSCS) – public awareness campaign

From January 2010 banks and deposit takers will need to make customers aware of the FSCS and the protection it provides.
One minute guide

Information for financial advisers

RDR consultation paper issued

We have published a Consultation Paper (CP) covering three aspects of the RDR; Professionalism, Pure protection and Group Personal Pensions. All IFAs should read the information and respond to the CP if you have comments on the proposals.
Delivering the RDR

Here are some frequently asked questions

RDR on track for implementation in 2012

There have been recent rumours that the RDR will not go ahead. These are incorrect. The RDR is on track for full implementation in Dec 2012.  Look at the information we have published and see how it might affect you.
RDR consultation paper June 2009

Assessing client's knowledge and experience

We would like to remind you that you are required to assess and record your client's knowledge and experience. For more information on the type evidence we expect you to get please read our factsheet.
Improving the quality of your advice process – Assessment of Customer Needs [pdf]

Information for mortgage advisers

Mortgage Market Review

Lesley Titcomb's article in Mortgage Strategy comments on brokers’ reaction to the Mortgage Market Review proposals we published recently.
Mortgage Strategy article

Statistics on mortgage lending

We have published our Mortgage Lending Data for the United Kingdom covering Quarter 2 2008 to Quarter 3 2009. Find out more
MLAR data

Information for general insurance brokers

Payment protection insurance - claims from claims management companies

Some motor retailers have been receiving claims made by claims management companies on behalf of customers who have bought PPI.

Find out more
PPI – dealing with claims

Third party capture

Third party capture (or third party assistance) is where an insurer directly contacts someone who has a potential claim against their policyholder, to investigate and settle the claim, rather than going through that person’s insurer. 

We have set out our expectations on this and have produced a factsheet.
Third party capture

Moneymadeclear – insurance comparison websites

We have published agreements from four insurance comparison websites. These firms have agreed to change their terms that set out their responsibilities and liabilities for providing their comparison service.

Find out more:


Need help on other issues?

Try our small firms web pages dedicated to general insurance brokers

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October regulation round-up

September regulation round-up

August regulation round-up

Page last updated: 04/04/13