Compliance Workshop – Review & Renew Procedures Manuals



Date: 1st Mar 2018

Event Details


The workshop deals with Consumer Protection Risk Assessment referenced in recent publications from the Central Bank. The course is suitable for those who wish to customise or update Procedure & Governance Manual. Full Details of Course Content shown below:

Code of Conduct



Mid Term Alterations Procedures Renewal Procedures: Administration
Advisory Services


Premium Rebate Procedures Renewal Procedures: Personal Lines Clients
Fees for Research & Placement of Business Premium Payment Options and Procedures Renewal Procedures: Commercial Business
Offering Assistance to Vulnerable Clients Premium Handling Procedures Claims Procedures


Client Communication Procedure


File Structure Client Files Complaints Procedures


New Business Procedure: Personal Lines Research Procedures: Commercial Client Errors Procedures
Research Procedures: Personal Lines


New Business Procedure: Commercial Client


Conflicts of Interest and Chinese Walls
Fitness & Probity Advertising Procedures Office Procedures: Administrative Tasks
Appointing New Staff Due Diligence AML/CTF & EU Sanctions

Joining Instructions to be sent to all participants prior to the workshop. Workshop details are as follows:

  • Venue: Allianz Training Room Lower Ground Floor 87 Merrion Square Dublin 2
  • Time:  09.00 AM – 1.00 PM (Refreshments available on arrival. Please arrive by 8.45 if possible to enable a prompt start at 9.00)
  • Lunch:  Sandwich platters, tea/coffee will be provided immediately after the workshop.   (Please advise special dietary requirements in advance to ensure they can be accommodated)
  • Payment: The cost of the workshop is €150 per person payable in advance, or on the day, by cheque, cash, credit card or EFT.
  • CPD: Accredited by III/LIA/IOB for CPD 4 hours

 Course Resources

To maximise your attendance at the workshop it is suggested that you bring your firms procedure documents with you in a format that suits you, either hard or soft copy. Reference will be made to the documents noted below in the course of the workshop.  Also for Information please click this link to Central Bank Registers to check the authorisations held by your firm in advance of the workshop.

Please see attached the Compliance Manual Templates and other useful documents. The templates were drafted in 2012 in line with CPC, MCC and Fitness & Probity standards and guidelines issued by the Central Bank.

At the workshop we will use the templates as a framework and build in the extra requirements outlined in Consumer Protection Outlook Reports of 2015  2016  and 2017 to capture the up to date thinking of the Central Bank in relation to both Conduct and Consumer Risk. “Ethical Conduct and Consumer Protection” was also addressed by Colm Kincaid in an address to Compliance Offices in 2015 (see attached) and gives a good insight into the expectation into how CBI expects business operate. Please also make reference the Prudential Handbook (Copy available at workshop) for requirements relating to the management and operation of the business. It is not necessary to print out all the relevant documents. Links are for reference.

Other useful links below for information: