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Understanding your needs

If you are unsure of exactly what services you require or just want some reassurance - we can help. We can generally assess your requirements in a single meeting, however should you wish for something more comprehensive or are facing complex issues then we will conduct a one day health check, delivering recommendations, by the end of the day, in most cases. For more information on the next core area of Compliance services we offer, click here for Regulatory Applications.

Regulatory Applications

No-Obligation Consultation

As with all of our services, confidentiality is key to our relationship with you.  We have extensive experience supporting International Insurance Groups, Lloyd’s Managing Agents/Syndicates, Brokers, MGAs and associated professionals and we pride ourselves on accuracy and service levels. As a client you will have a named point of contact within Callidus, supported by a substantial team.  We have listed the four core areas of Compliance where we can support you, but for more detail please arrange a no-obligation consultation.

Health Check

The extent of any health check we undertake and the areas covered will depend on the size and type of firm (Broker, Intermediary, Managing Agent or Insurance Company), the time available, the purpose of the health check and budget. Accordingly, each health check will be tailored to individual Client's needs, but will typically include many of the following:

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  • Management Structure/Corporate Governance

  • Remuneration Procedures

  • Apportionment of Responsibilities

  • Conflicts of Interest

  • Risk Management Procedures / Risk Register

  • Training & Competence

  • Conduct Risk

  • Marketing & Financial Promotions

  • Documentation

  • Complaints Handling

  • Compliance Procedures

  • Claims Handling

  • Capital Solvency

  • Client Money / CASS

  • Professional Indemnity

  • Treating Customers Fairly

  • Product Providers

  • Regulatory Reporting

  • Anti Money Laundering

  • Websites

  • Sales Records

  • Intranets

  • Customer Records

  • Appointed Representatives

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