Insurance Regulation and Compliance
About this course

Overview

Supervisors arrive with a fairly predictable set of questions. This covers solvency regimes and conduct standards and, more usefully, what a supervisor actually looks at in a routine review and what they conclude from what they find.

What you will be able to do

Learning outcomes

  • Describe the main regulatory obligations
  • Interpret solvency and capital rules
  • Assess conduct against fair-treatment standards
  • Prepare for a supervisory engagement
  • Run compliance monitoring and reporting
What the course sets out to do

Course objectives

  • Explain the insurance regulatory framework
  • Apply solvency and capital requirements
  • Meet market conduct standards
  • Prepare for supervisory reviews
  • Embed a compliance monitoring approach
Course content

Modules

01

Regulatory framework

The supervisory architecture and objectives of insurance regulation.

02

Solvency and capital

Solvency regimes, capital adequacy, and reporting requirements.

03

Market conduct

Fair treatment of customers and conduct-of-business standards.

04

Supervisory expectations

What regulators examine in routine and thematic reviews.

05

Compliance monitoring

Building monitoring, reporting, and issue management.

06

Governance and controls

The governance and control environment regulators expect.

Who it is for

Target audience

Compliance officers, risk staff, and management in insurers and insurance supervisory bodies.

Before you start

Prerequisites

A compliance, risk, actuarial or finance role in an insurer.

Ready to register?

Secure a seat for Insurance Regulation and Compliance, or ask us anything first.