Insurance distribution

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AML and counter-terrorist financing—source of funds and source of wealthSource of funds and wealth was a key focus of the SRA’s Preventing Money...
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Practice notes
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
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Practice notes
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Practice notes
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Produced in partnership with Adam Cygan of University of Leicester 19th May
Practice notes
SRA Accounts Rules 2019This Practice Note sets out the requirements of the SRA Accounts Rules 2019 (the 2019 Rules), in force from 25 November 2019,...
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Precedents
1DefinitionsModern Slavery Policy•means the Customer's anti-slavery and human trafficking policy as set out in Schedule [insert] as updated by the...
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Practice notes
High-risk third countries trackerOrganisations caught by the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer)...
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Practice notes
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Produced in partnership with Joanne Kane of Carmelite Chambers 19th May
Precedents
In briefThis precedent links to: •a template created by the UK Information Commissioner’s Office (ICO) of the ‘Set II’ or ‘2004’ EU Standard...
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19th May
Practice notes
Introduction to retained EU lawThis Practice Note provides an introduction to retained EU law. It provides an overview of the key definitions and...
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Produced in partnership with Dr. Kieran Laird of Gowling WLG 19th May
Practice notes
Safeguards and information barriersProtection of confidential information is fundamental to your relationship with clients, both as a matter of law...
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Practice notes
Undertakings and the SRA 2019What is an undertaking?An undertaking is:•a statement, given orally or in writing, whether or not it includes the word...
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Practice notes
Duties of confidentiality and disclosure 2019The protection of confidential information is a fundamental feature of the solicitor-client relationship...
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Practice notes
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Precedents
1IntroductionThis financial sanctions policy is designed to ensure we comply with applicable financial sanctions laws made under the UK sanctions...
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Practice notes
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Most recent Insurance distribution content

Q&As
What are the consequences for law firm of breaching the insurance distribution regime?Failure to comply with the insurance distribution regime could...
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31st Jul
Q&As
What sort of activities are caught by the insurance distribution regime—law firms?The Insurance Distribution Directive (IDD), Directive 2016/97/EU...
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31st Jul
Q&As
What is the role of the FCA compliance officer?The Financial Conduct Authority (FCA) is the single statutory regulator of the financial services...
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31st Jul
Q&As
What constitutes ‘a personalised explanation’ (of why a particular insurance contract best meets the client’s demands and needs) and can law firms...
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31st Jul
Q&As
Would a law firm providing advice to a client in relation to an insurance policy (where an insurance broker has been retained by the client)...
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31st Jul
Q&As
Does the insurance distribution regime apply to commercial clients—law firms?The requirements of the Solicitors Regulation Authority’s (SRA’s)...
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31st Jul
Practice notes
Insurance distribution activities—law firmsAs a general rule, law firms are not permitted to engage directly in insurance distribution activities,...
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31st Jul
Practice notes
Insurance mediation activities—regulatory requirements [Archived]This Practice Note has been archived and is not maintained. It relates to the...
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31st Jul
Practice notes
Introductions for financial services (including regulated mortgage, general insurance and pure protection contracts) 2011 [Archived]This Practice Note...
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31st Jul
Precedents
Letter to client-arranging insurance—insurance mediation—law firms [Archived]We have reached a stage in your matter where we believe it would be in...
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31st Jul
Precedents
Insurance mediation wording including demands and needs statement—after the event insurance for standard CFA [Archived]After-the-event costs...
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31st Jul
Precedents
Insurance analysis spreadsheet—law firmsClick for the Precedent Insurance analysis spreadsheet. This Precedent Insurance analysis spreadsheet is...
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31st Jul
Precedents
File note—insurance demands and needs—law firms1Client’s demands and needsWhat risk does the client need to insure and why?[Describe the risk the...
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31st Jul
Precedents
Letter to client-arranging ATE insurance—insurance mediation—law firms [Archived]We have reached a stage in your matter where we believe it would be...
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30th Jul
Precedents
Insurance mediation wording including demands and needs statement—law firms [Archived][Insert type, eg Title indemnity] insurance[Explain what sort of...
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30th Jul
Precedents
Letter recommending insurance—demands and needs—law firmsWe have reached a stage in your matter where we believe it would be in your best interests to...
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30th Jul

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