Compliance Workshops
Compliance Workshops
Compliance Workshops
Expo Clinic: Compliance Learning and Development
10:00 – 10:40
Workshop 1: FCA compliance overview
This workshop is ideal for young brokers to learn more about the regulatory environment including:
- Fair value’s revolutionary change posed for general insurance
- New consumer duty requirements
- Individual accountability
Sandra is an experienced and qualified insurance professional with a wealth of experience in financial services, insurance broking, compliance and regulation. Having spent 30 years working in the insurance industry, she has a sound understanding of insurance broking operations and procedures from both a regulatory and practical perspective.
Sandra’s background includes working with broking firms on mergers, acquisitions, operational alignment and integration programs. She has led and supported numerous regulatory due diligence projects for both acquisition firms and vendors. She has delivered regulatory due diligence programs ranging from small to medium acquisitions to several multimillion pound deals.
A certified information privacy professional, Sandra also brings additional expertise and experience in Data Protection Regulation (GDPR) and Direct Marketing Rules (PECR). She has supported operational compliance, information auditing and implementation of GDPR and has delivered privacy awareness programs and training, including direct marketing across multiple organisations.
Michael Sicsic is a senior executive in the field of risk and regulation in the financial services sector, with a strong focus on insurance. He has a deep understanding of business models in the insurance sector and its related risks. He has founded Sicsic Advisory in 2019.
Michael is the former head of supervision of the retail general insurance sector at the Financial Conduct Authority.
Formerly, Michael spent five years at Aviva Plc. as Global Operational Risk Director covering Life Insurance, Asset Management and Non-Life insurance. Previously, he worked over 10 years at GE Capital in various senior risk and finance positions across commercial and corporate finance activities.
He has extensive international experience covering credit risk modeling and capital allocation, financial risk and ALM, operational risk management and quantification, conduct of business, financial crime compliance and M&A activity across multiple jurisdictions.
Michael is a liveryman of the Worshipful Company of Insurers.
10:50 – 11:30
Workshop 2: “Getting fit for sale”: Is your house in regulatory order?
Advanced course on M&A approach for sellers
- Meeting regulatory and buyer expectations
- Key lessons learnt from past transactions
- Readiness approach
Michael Sicsic is a senior executive in the field of risk and regulation in the financial services sector, with a strong focus on insurance. He has a deep understanding of business models in the insurance sector and its related risks. He has founded Sicsic Advisory in 2019.
Michael is the former head of supervision of the retail general insurance sector at the Financial Conduct Authority.
Formerly, Michael spent five years at Aviva Plc. as Global Operational Risk Director covering Life Insurance, Asset Management and Non-Life insurance. Previously, he worked over 10 years at GE Capital in various senior risk and finance positions across commercial and corporate finance activities.
He has extensive international experience covering credit risk modeling and capital allocation, financial risk and ALM, operational risk management and quantification, conduct of business, financial crime compliance and M&A activity across multiple jurisdictions.
Michael is a liveryman of the Worshipful Company of Insurers.
11:40 – 12:20
Workshop 3:Update on appointed representatives’ regime
- Learn about the requirements tightening up the AR regime
- What you need to do as a principal?
- What to expect as an appointed representative?
Sue is a senior consultant, focused on conduct, culture and governance, with extensive professional experience from small broker firms to large multinational banks and insurers.
With over 20 years’ financial services experience, Sue has a depth and breadth of regulatory knowledge gained in Big 4 and specialist consultancies, along with practical industry experience with roles as Head of Compliance with general insurers, insurance intermediaries and a mortgage and consumer credit firm.
Sue is leading our offering on pricing practices, and she is currently assisting a range of firms in the development and implementation of their pricing practices and ’fair value’ assessment processes.
In addition, she has worked with a variety of firms in their implementation of the Senior Managers and Certification Regime, and the Insurance Distribution Directive.
Sue’s has built and led Compliance functions at insurers, intermediaries, mortgage and consumer credit firms and managed a number of successful authorisations, for both UK (FCA) and Irish (CBI) entities.
Having started her career at Friends Provident in 1997, she gained her ACII qualification and was an examiner for the Chartered Insurance Institute.
12:30 – 13:30
Lunchtime & Networking
13:40 – 14:20
Workshop 4 - Part 1: Refresher session on Senior Managers and Certifications Regime (SMCR)
Get your CPD accredited course on SMCR practical implementation for insurance broking for employees as well as senior managers
Nindy is a senior regulatory consultant, she provides a comprehensive range of risk and compliance solutions to Insurers and Brokers. She has over 20 years’ experience in General Insurance. She specialises in supporting clients in their implementation of regulatory change projects and has an exceptional record managing SMCR implementation.
Nindy is adept in overseeing compliance projects, developing frameworks, designing and delivering workshops and training. She was recently the lead consultant conducting a s166 review on corporate governance for a Tier 1 Insurer (FTSE100).
Nindy spent six years at the FCA in both Policy and Supervision roles where she made a significant contribution to a number of regulatory change projects including SM&CR and IDD. Before joining the regulator Nindy held managerial roles in compliance and claims for a general insurer.
14:30 – 15:10
Workshop 4 - Part 2: Refresher session on Senior Managers and Certifications Regime (SMCR)
Continuation of the course
Nindy is a senior regulatory consultant, she provides a comprehensive range of risk and compliance solutions to Insurers and Brokers. She has over 20 years’ experience in General Insurance. She specialises in supporting clients in their implementation of regulatory change projects and has an exceptional record managing SMCR implementation.
Nindy is adept in overseeing compliance projects, developing frameworks, designing and delivering workshops and training. She was recently the lead consultant conducting a s166 review on corporate governance for a Tier 1 Insurer (FTSE100).
Nindy spent six years at the FCA in both Policy and Supervision roles where she made a significant contribution to a number of regulatory change projects including SM&CR and IDD. Before joining the regulator Nindy held managerial roles in compliance and claims for a general insurer.
15:20 – 16:00
Workshop 5: FCA compliance overview
This workshop is ideal for experienced brokers to learn more about the changes of regulatory environment including:
- Fair value’s revolutionary change posed for general insurance
- New consumer duty requirements
- Individual accountability
Sandra is an experienced and qualified insurance professional with a wealth of experience in financial services, insurance broking, compliance and regulation. Having spent 30 years working in the insurance industry, she has a sound understanding of insurance broking operations and procedures from both a regulatory and practical perspective.
Sandra’s background includes working with broking firms on mergers, acquisitions, operational alignment and integration programs. She has led and supported numerous regulatory due diligence projects for both acquisition firms and vendors. She has delivered regulatory due diligence programs ranging from small to medium acquisitions to several multimillion pound deals.
A certified information privacy professional, Sandra also brings additional expertise and experience in Data Protection Regulation (GDPR) and Direct Marketing Rules (PECR). She has supported operational compliance, information auditing and implementation of GDPR and has delivered privacy awareness programs and training, including direct marketing across multiple organisations.
Michael Sicsic is a senior executive in the field of risk and regulation in the financial services sector, with a strong focus on insurance. He has a deep understanding of business models in the insurance sector and its related risks. He has founded Sicsic Advisory in 2019.
Michael is the former head of supervision of the retail general insurance sector at the Financial Conduct Authority.
Formerly, Michael spent five years at Aviva Plc. as Global Operational Risk Director covering Life Insurance, Asset Management and Non-Life insurance. Previously, he worked over 10 years at GE Capital in various senior risk and finance positions across commercial and corporate finance activities.
He has extensive international experience covering credit risk modeling and capital allocation, financial risk and ALM, operational risk management and quantification, conduct of business, financial crime compliance and M&A activity across multiple jurisdictions.
Michael is a liveryman of the Worshipful Company of Insurers.