What are the key FCA financial rules for brokers?

Online event
Tuesday, 17 November 2020
10:00 am – 11:15 am
    • Branko Bjelobaba FCII, Senior Consultant on FCA Compliance, Branko Limited
  • Webinar

This comprehensive and interactive joint IIL and Branko Limited webinar will focus on the critical financial aspects of FCA rules - overall business solvency (compliance with adequate resources Threshold Condition 2.4), professional indemnity requirements/limits/issues (inc. Covid cover) and the onerous client money handling rules under CASS 5.

The FCA has had deep concern with brokers’ financial resilience and has issued several surveys on this plus client money handling arrangements culminating with the Dear CEO letter of 30 September 2020.

By the end of this webinar attendees will have gained insights into:

  • What are the FCA’s concerns – the financial resilience and client money surveys
  • Solvency and meeting adequate resources TC2.4
  • Professional Indemnity Insurance – issues and limits
  • CASS 5 – what is client money, how Risk Transfer can go wrong, what are monies held at third parties and what actually do you need to do to comply (inc. audits)

This webinar is relevant to general insurance brokers/intermediaries, their insurers and any other market participants.

This webinar will be hosted on Zoom. Please familiarise yourself with their T&Cs and Privacy Statement.

Joining instructions

Joining instructions will be sent out shortly before the Zoom webinar begins and all participants will receive a copy of the presentation after the webinar has ended.

Since the start of the lockdown, Branko has provided over 90 separate events for local institutes reaching over 5,000 members and feedback has been resoundingly positive:

“Branko's webinars are certainly one of the best. He can present quite a dry and relatively boring subject with such a passion and engages his public constantly. His events have very valuable content and presentation materials are well prepared and comprehensive.”

“Branko has energy and enthusiasm and character which led to an engaging presentation. I would definitely sign up and recommend others do too for other topics/webinars led by him.”

“The content was excellent and brilliantly presented - most enjoyable webinar yet.”

“Very informative and well-structured webinar from a very engaging presenter. Well done!”

“Absolutely amazing speaker, coming from CIMA and boring accounting, this was the best presentation I have seen in years! So entertaining and knowledgeable."


Please contact info@branko.org.uk (0800 619 6619) with any queries.

  • Online event

CII Accredited

This demonstrates the quality of an event and that it meets CII member CPD scheme requirements.

1 1/4 hours' CPD can be claimed for this event if relevant to your learning and development needs.

It is recommended that you keep any evidence of the CPD activity you have completed and upload copies to the recording tool as the CII may ask to see this if your record is selected for review. Details of the scheme can be viewed online at www.cii.co.uk/cpd.