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Roland Romata
7 days ago4 min read
AI in Insurance: Innovation or Compliance Nightmare?
AI in Insurance: Risk or Reward?
FCA's scrutiny intensifies as firms adopt AI. Algorithmic bias & explainability gaps could trigger action.
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Roland Romata
Mar 33 min read
FCA Insurance Compliance: Hidden Regulatory Risks and Blind Spots in 2025
Are you confident your insurance firm is fully compliant with FCA regulations? Compliance gaps may be lurking beneath the surface.
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Roland Romata
Feb 244 min read
Understanding FCA Requirements for Conflicts of Interest in Financial Services: Regulatory Expectations and Best Practices
Conflicts of interest pose significant challenges in financial services, particularly within insurance and reinsurance sectors.
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Roland Romata
Feb 44 min read
Insurance Premium Risk Transfer: An Overview of UK Regulation
Learn the key differences between risk transfer agreements and client money rules for UK insurance intermediaries.
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Roland Romata
Jan 274 min read
Financial Sanctions Compliance: A Guide for High-Value Dealers and Art Market Participants
Comprehensive guide to financial sanctions compliance for high-value dealers and art market participants.
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Roland Romata
Oct 22, 20245 min read
Understanding Risk Transfer in Insurance: TOBAs, Risk Transfer and CASS Compliance
how to interpret the rules around risk transfer and non-risk transfer agreements, why they are important and how they underpin the Terms of
438 views
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Roland Romata
Sep 30, 20247 min read
KYC and AML Rules for Reinsurance Businesses in the UK
In the world of reinsurance adherence to Know Your Customer (KYC) and Anti-Money Laundering (AML) regulations is crucial.
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Roland Romata
Sep 11, 20246 min read
The FCA’s Senior Managers and Certification Regime (SM&CR) applying to Lloyd’s of London
The FCA, the PRA and Lloyd's have common objectives in ensuring that the Lloyd's market is appropriately regulated. To minimise duplication,
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Roland Romata
Jul 24, 20244 min read
New PRA Guidelines for Third-Country Insurance Branches: What You Need to Know
The PRA has recently proposed changes to its approach for authorising and supervising third-country insuracen branches operating in the UK,
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Roland Romata
Jul 11, 20242 min read
Wider Implications Framework Annual Report 2023/24 (& Consumer Duty)
The Wider Implications Framework Report outlines regulatory focus incl: Consumer Duty, operational resilience, financial crime prevention.
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Roland Romata
Jun 19, 20246 min read
Navigating the Crypto Compliance Landscape: A Consultant's Perspective
Crypto firms face evolving regulations and severe penalties for non-compliance. Here we explore the UK's crypto regulations and FCA rules.
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Roland Romata
Apr 23, 20242 min read
Is Your Car Telling Your Insurer How You Drive?
Are car makers secretly tracking driving behaviors and sharing data with insurers raises major privacy concerns!
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Roland Romata
Apr 22, 20243 min read
100 Days from the next Consumer Duty Milestone
Firms must assess closed product ranges by July 31, 2024 deadline to comply with FCA's Consumer Duty rules.
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Roland Romata
Feb 22, 20243 min read
Six Months of Consumer Duty: Reflections, Challenges, and Opportunities
Dive into the intersection of SM&CR & Consumer Duty the implications & challenges awaiting firms in meeting the next stage of the Duty.
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Roland Romata
Feb 19, 20244 min read
FCA Chief Exec Responds to HM Treasury Select Committee: What You Need to Know and Why
This letter is a response to follow-up questions from the Treasury Committee regarding the FCA's work on various topics, including: Asset...
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Roland Romata
Jan 29, 20243 min read
Financial Promotions for Unauthorised Persons - What You Need to Know
Our latest article helps firms understand the FCA's new gateway for approving financial promotions for unauthorised persons.
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Roland Romata
Nov 6, 20233 min read
Why UK Firms Need to Prioritise Sanctions and PEPs Screening.
Discover the importance of sanctions and PEP screening in your business. Don't overlook these critical checks!
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Roland Romata
Nov 6, 20233 min read
How PEP & Sanctions Screening Compliance Varies by Region
Explore how Politically Exposed Person (PEP) screening varies by region . Learn how to adopt a tailored approach to PEP screening.
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Roland Romata
Jul 26, 20237 min read
Understanding FCA Consumer Duty Regulations: A Guide for Brokers
As a business operating in the financial services industry, it is crucial to stay informed about regulatory changes that affect your...
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Roland Romata
Jul 9, 20232 min read
REP021e - General insurance pricing information – Premium finance, add-ons and fee charges
Understanding REP021e RMAR Return for General Insurance Pricing - Get insights into the reporting requirements for UK-based insurance firms.
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