Case Studies | ICSR

We help clients solve a wide variety of risk, compliance, governance, risk and resourcing challenges with our broad range of consultancy expertise. Here are just a few examples of issues we have asisted clients with.

Assisting With Preparation For Supervisory Visit By Regulator

Assisting With Preparation For Supervisory Visit By Regulator

Brokers, Compliance, FCA, Insurers, MGAs, PRA

Assisting International Insurer Manage Its Operational Resilience Obligations

Assisting International Insurer Manage Its Operational Resilience Obligations

Insurers, MGAs, Operational Resilience, Risk

Digital Operational Resilience Act (DORA) Support For Client In The Irish Regulated Market

Digital Operational Resilience Act (DORA) Support For Client In The Irish Regulated Market

Business Continuity, Compliance, Controls, Insurers, Operational Resilience

Assisting Client With Evolution Of An Outsourcing Framework

Assisting Client With Evolution Of An Outsourcing Framework

Business Continuity, Compliance, Controls, Insurers, Lloyd's Managing Agents, Outsourcing, PRA, Risk

Support Setting Up UK Branch And Post-Authorisation Compliance Support

Support Setting Up UK Branch And Post-Authorisation Compliance Support

Authorisation Applications, Compliance, Controls, FCA, Governance, Insurers, Licensing, MGAs, PRA

Assisting Client With Feasibility Study on Creating A Start-Up Insurer And Obtaining UK Authorisation

Assisting Client With Feasibility Study on Creating A Start-Up Insurer And Obtaining UK Authorisation

Authorisation Applications, Compliance, FCA, Governance, Insurers, PRA, SMCR, Target Operating Models

Advising Client On Authorisation Process To Create A UK Insurance Broker

Advising Client On Authorisation Process To Create A UK Insurance Broker

Appointed Representatives, Authorisation Applications, Brokers, Compliance, FCA, Governance, SMCR, Target Operating Models

Advising Client On Authorisation Process To Create A UK P&I Club

Advising Client On Authorisation Process To Create A UK P&I Club

Authorisation Applications, Compliance, FCA, Governance, Insurers, PRA, SMCR, Target Operating Models

Assisting The Client With Building An MI Framework For Third Party Reporting

Assisting The Client With Building An MI Framework For Third Party Reporting

Controls, Data and MI, Data Governance, Insurers, IT, MGAs

Assisting International Insurer With Authorisation And Operating Model Development

Assisting International Insurer With Authorisation And Operating Model Development

Actuarial, Authorisation Applications, Claims, Company Secretarial, Compliance, Conduct Risk, Controls, Data and MI, Data Governance, Distribution, FCA, Finance, Governance, HR, Insurers, Internal Audit, IT, Management, Operations, Outsourcing, PRA, Product Governance, Project Management, Reinsurance, Resourcing, Risk, Service Management Framework, SMCR, Target Operating Models, Three Lines Of Defence, Underwriting Controls

Review Compliance Framework Controls To Ensure Consumer Duty Effectively Implemented

Review Compliance Framework Controls To Ensure Consumer Duty Effectively Implemented

Compliance, Consumer Duty, Controls, Insurers

Assisting with Compliance Framework Development for UK Branch

Assisting with Compliance Framework Development for UK Branch

Authorisation Applications, Brexit, Compliance, Consumer Duty, Controls, Distribution, Insurers, MGAs, Product Governance

Providing Compliance Support To Assist The Clients Operationalisation of its UK Branch

Providing Compliance Support To Assist The Clients Operationalisation of its UK Branch

Authorisation Applications, Brexit, Compliance, Consumer Duty, Controls, Distribution, Insurers, Product Governance

Supporting The Client With The Delivery Of A New Governance, Service And Operating Model As A Part Of A Corporate Restructure

Supporting The Client With The Delivery Of A New Governance, Service And Operating Model As A Part Of A Corporate Restructure

Actuarial, Claims, Company Secretarial, Compliance, Controls, Exposure Management, Governance, HR, Internal Audit, IT, MGAs, Operational Resilience, Operations, Outsourcing, Project Management, Risk, Underwriting Controls

Assisting Client With Integration Of Governance, Risk And Compliance Frameworks

Assisting Client With Integration Of Governance, Risk And Compliance Frameworks

Compliance, Controls, Governance, Mergers & Acquisitions, MGAs, Risk

Undertaking A Review Of Cultural Change Work Within A Lloyd’s Business To Establish Its Effectiveness

Undertaking A Review Of Cultural Change Work Within A Lloyd’s Business To Establish Its Effectiveness

Compliance, Culture, Lloyd's Managing Agents, Start Ups

Assisting Client With The Parameterisation Of Its Operational Risk Processes And The Redevelopment Of Its ORSA Process And Templates

Assisting Client With The Parameterisation Of Its Operational Risk Processes And The Redevelopment Of Its ORSA Process And Templates

Insurers, ORSA, Risk

Assisting London Market Insurance Broker With Operational Resilience

Assisting London Market Insurance Broker With Operational Resilience

Brokers, Compliance, Operational Resilience, Outsourcing

Board Effectiveness Review For Leading International Broking Firm To Support Its UK Growth Plans And Regulatory Compliance

Board Effectiveness Review For Leading International Broking Firm To Support Its UK Growth Plans And Regulatory Compliance

Board Effectiveness, Brokers, Culture, Governance, Insurers, Management

Detailed Compliance Training Provided for Insurer Staff

Detailed Compliance Training Provided for Insurer Staff

Claims, Compliance, Controls, Financial Crime, Insurers, Training

Assisting European insurer with assessment of post-TPR authorisation Options

Assisting European insurer with assessment of post-TPR authorisation Options

Authorisation Applications, Brexit, Compliance, Insurers, Licensing

Assisting European insurer with Application for UK Authorisation

Assisting European insurer with Application for UK Authorisation

Authorisation Applications, Brexit, Compliance, FCA, Governance, Insurers, Licensing, Operations, Project Management, Resourcing, Risk, Target Operating Models, Underwriting Controls

Advising International MGA On Its Product Governance Requirements

Advising International MGA On Its Product Governance Requirements

Compliance, Distribution, MGAs, Product Governance

Advising International Insurance Broker on its Product Governance Requirements

Advising International Insurance Broker on its Product Governance Requirements

Brokers, Compliance, Distribution, Product Governance

Creating A Product Governance Framework Including Policy And Procedure

Creating A Product Governance Framework Including Policy And Procedure

Compliance, Distribution, Insurers, MGAs, Product Governance

Undertaking Financial Crime Risk Assessment For Client

Undertaking Financial Crime Risk Assessment For Client

Claims, Compliance, Compliance monitoring, Conduct Risk, Controls, Distribution, Financial Crime, Governance, MGAs, Risk, Sanctions

Monitoring Appointed Representatives Compliance Adherence for Principal

Monitoring Appointed Representatives Compliance Adherence for Principal

Appointed Representatives, Brokers, Compliance, Compliance monitoring, Controls, Governance, MGAs, Risk

Support Developing Operational Resilience Control Framework

Support Developing Operational Resilience Control Framework

Compliance, Governance, Insurers, Operational Resilience, Risk

Development of ORSAs and related ERM work

Development of ORSAs and related ERM work

Governance, Insurers, ORSA, Risk

Temporary Compliance Resource Provided As Maternity Cover

Temporary Compliance Resource Provided As Maternity Cover

Compliance, FCA, Insurers, Resourcing

Development of Climate Change and ESG Frameworks

Development of Climate Change and ESG Frameworks

Climate change, Controls, Environment Social and Governance, Governance, Insurers, Management, Project Management, Risk

Provision of Temporary Compliance & Risk Support

Provision of Temporary Compliance & Risk Support

Compliance, Controls, Governance, Insurers, Project Management, Risk

Review Of Complaints Procedures For International Insurer

Review Of Complaints Procedures For International Insurer

Complaints, Compliance, EIOPA, FCA, Licensing, MGAs

Assisting Our Client With An Application For Authorisation From The FCA

Assisting Our Client With An Application For Authorisation From The FCA

Authorisation Applications, Compliance, Distribution, FCA, Project Management, Resourcing

Implementation Of Updated Sanctions Screening Solution

Implementation Of Updated Sanctions Screening Solution

Controls, Financial Crime, Insurers, Licensing, Lloyd's Managing Agents, Monitoring, Sanctions

Providing expert evaluation of the governance and control arrangements and identifying opportunities to materially enhance the client’s structures, composition and processes

Providing expert evaluation of the governance and control arrangements and identifying opportunities to materially enhance the client’s structures, composition and processes

Board Effectiveness, Brokers, Controls, Culture, Governance, Insurers, Three Lines Of Defence

Developing A Financial Crime Risk Assessment For One Of The UK’s Leading Employee Benefits Providers

Developing A Financial Crime Risk Assessment For One Of The UK’s Leading Employee Benefits Providers

Compliance, Compliance monitoring, Controls, Financial Crime, Insurers, Training

Resourcing And Training Support For Client To Ensure They Were Adhering To All Applicable Sanctions’ Regimes And Effectively Managing Their Sanctions Exposures

Resourcing And Training Support For Client To Ensure They Were Adhering To All Applicable Sanctions’ Regimes And Effectively Managing Their Sanctions Exposures

Controls, Financial Crime, Insurers, Licensing, Lloyd's Managing Agents, Monitoring, Sanctions

Financial Crime Training For Board And Senior Leadership Team Of UK Based Broker

Financial Crime Training For Board And Senior Leadership Team Of UK Based Broker

Brokers, Claims, Compliance, Compliance monitoring, Controls, Financial Crime, Training

Advising On The Authorisation Requirements To Set Up A Branch Or Subsidiary In The UK

Advising On The Authorisation Requirements To Set Up A Branch Or Subsidiary In The UK

Authorisation Applications, Brexit, Compliance, FCA, Lloyds Coverholder, Temporary Permissions Regime

Advising On The Authorisation Requirements To Set Up A UK Broker

Advising On The Authorisation Requirements To Set Up A UK Broker

Authorisation Applications, Brexit, Brokers, Compliance, MGAs

Advising International Firm on the Application of the Temporary Permissions Regime to Its Business

Advising International Firm on the Application of the Temporary Permissions Regime to Its Business

Authorisation Applications, Brexit, Compliance, Controls, Governance, Insurers, Resourcing, Risk

Advising International Firm On Options For UK Structure Post-Temporary Permissions Regime

Advising International Firm On Options For UK Structure Post-Temporary Permissions Regime

Authorisation Applications, Brexit, Compliance, Controls, Governance, Insurers, Project Management, Resourcing, Risk

Assisting Client With Project Delivering PRA and FCA Operational Resilience Requirements

Assisting Client With Project Delivering PRA and FCA Operational Resilience Requirements

Compliance, Governance, Operational Resilience, Operations, Outsourcing, Risk

Support Preparing For Introduction of Operational Resilience and Business Continuity Planning

Support Preparing For Introduction of Operational Resilience and Business Continuity Planning

Business Continuity, Compliance, Disaster Recovery, MGAs, Operational Resilience, Risk

Support with Brexit Planning for European Reinsurer

Support with Brexit Planning for European Reinsurer

Authorisation Applications, Brexit, Compliance, Controls, Governance, Insurers, Project Management, Risk

Support With The Post-Acquisition Integration of London Market & Lloyd’s Brokers

Support With The Post-Acquisition Integration of London Market & Lloyd’s Brokers

Brokers, Compliance, Governance, Mergers & Acquisitions, Operations, Project Management, Risk

Our client required an independent Board Effectiveness review in accordance with its’ three-yearly cycle

Our client required an independent Board Effectiveness review in accordance with its’ three-yearly cycle

Board Effectiveness, Compliance, Controls, Culture, Governance, Insurers, Lloyd's Managing Agents

Recovery and Resolution Planning

Recovery and Resolution Planning

Compliance, Governance, Project Management, Risk, Run-off

Review client’s governance, control and risk frameworks to ensure that the operating model remained fit for purpose

Review client’s governance, control and risk frameworks to ensure that the operating model remained fit for purpose

Board Effectiveness, Brokers, Compliance, Controls, Governance, Risk

Providing Validation and Advice to Overseas Insurance Group on SM&CR

Providing Validation and Advice to Overseas Insurance Group on SM&CR

Compliance, Governance, SMCR

Assisting Client’s Management Prepare for Lloyd’s Governance, Compliance and Culture Review

Assisting Client’s Management Prepare for Lloyd’s Governance, Compliance and Culture Review

Compliance, Culture, Governance, Lloyd's Managing Agents, Project Management, Risk

Assist with changes to governance, capital model, risk, compliance, operations, claims functions and frameworks

Assist with changes to governance, capital model, risk, compliance, operations, claims functions and frameworks

Claims, Compliance, Controls, IT, Lloyd's Managing Agents, Management, Operations, Project Management, Risk, Run-off

Supporting client with Due Diligence Work for Private Equity Backed M&A Activity

Supporting client with Due Diligence Work for Private Equity Backed M&A Activity

Brokers, Compliance, Controls, Governance, Mergers & Acquisitions, Risk

Assistance with implementation of control framework in merger of multinational client with London Market Insurer

Assistance with implementation of control framework in merger of multinational client with London Market Insurer

Compliance, Governance, Project Management, Risk, Run-off

London Market insurance broker needed to create a solution for Brexit

London Market insurance broker needed to create a solution for Brexit

Authorisation Applications, Brexit, Brokers, Compliance, Distribution, Governance, Mergers & Acquisitions

Independent compliance monitoring review of outsourcing arrangements

Independent compliance monitoring review of outsourcing arrangements

Compliance, Outsourcing

Review of US-owned firm’s UK Conduct Risk Framework

Review of US-owned firm’s UK Conduct Risk Framework

Compliance, Conduct Risk, Product Governance

Advice and support on the development of a distribution chain involving the use of non-admitted insurers

Advice and support on the development of a distribution chain involving the use of non-admitted insurers

Brokers, Compliance, Distribution, Licensing

Creating the necessary frameworks and procedures to ensure compliance with IDD

Creating the necessary frameworks and procedures to ensure compliance with IDD

Brokers, Compliance, Distribution, Insurers, Lloyd's Managing Agents, MGAs, Product Governance, Start Ups, Training

Assisting Start-up with Product Development, Compliance & Risk Frameworks

Assisting Start-up with Product Development, Compliance & Risk Frameworks

Compliance, Distribution, Financial Crime, Product Governance, Start Ups

Advising And Supporting A New Global Insurance Group On Set-up, Licensing And Distribution

Advising And Supporting A New Global Insurance Group On Set-up, Licensing And Distribution

Compliance, Distribution, Outsourcing, Start Ups

Supporting a Lloyd’s Syndicate With New Product Development and EU Distribution Requirements

Supporting a Lloyd’s Syndicate With New Product Development and EU Distribution Requirements

Compliance, Distribution, Product Governance

Developing A Complaints Management Framework For An Overseas Insurer

Developing A Complaints Management Framework For An Overseas Insurer

Complaints, Compliance, Distribution, Insurers, Training

Temporary Permissions Regime for Brexit And Outsourced Compliance and Risk Resources

Temporary Permissions Regime for Brexit And Outsourced Compliance and Risk Resources

Authorisation Applications, Brexit, Compliance, Controls, Governance, Insurers, Risk

Data Protection and GDPR

Data Protection and GDPR

Brokers, Compliance, Data Protection, Governance, Insurers, Lloyd's Managing Agents, MGAs, Start Ups

Merger & Acquisition: Control Framework Implementation

Merger & Acquisition: Control Framework Implementation

Compliance, Controls, Governance, Insurers, Lloyd's Managing Agents, Mergers & Acquisitions, Risk

New Governance and Controls for New TOM

New Governance and Controls for New TOM

Brokers, Compliance, Controls, Distribution, Governance

Product Governance and Compliance Monitoring Rebuild

Product Governance and Compliance Monitoring Rebuild

Compliance, Compliance monitoring, Lloyd's Managing Agents, Product Governance, Risk

Advisory & Resourcing

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