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  3. SRA Handbook
  4. v17
  5. Specialist Services
  6. Financial Services (Conduct of Business) Rules
  7. Rules
  8. Insurance mediation activities
  • Introduction
  • Principles
    • Interpretation [8]
    • Transitional provisions [7]
    • Principles - application provisions [3-6]
    • Principles [1-2]
    • Preamble
  • Code of Conduct
    • Application, waivers and interpretation [13-15]
    • You and others [11-12]
    • You and your regulator [10]
    • You and your business [7-9]
    • You and your client [1-6]
    • Introduction to the Code of Conduct
  • Accounts Rules
    • Practice as an REL from an office in England and Wales of an Exempt European Practice [47-52]
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    • Accounting systems and records [26-30]
    • Interest [22-25]
    • Client money and operation of a client account [13-21]
    • General [1-12]
    • Introduction
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  • Specialist Services
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      • Appendix
      • Rules [1-13]
        • Interpretation [13]
        • Commencement [12]
        • Waivers [11]
        • Retention of records [10]
        • Rule 9A: Credit-related regulated activities [9A]
        • Insurance mediation activities [9]
          • Packaged products - execution-only business [8]
          • Safekeeping of clients' investments [7]
          • Record of commissions [6]
          • Records of transactions [5]
          • Execution of transactions [4]
          • Status disclosure [3]
          • Application [2]
          • Purpose [1]
      • Financial Services (Scope) Rules
      • Property Selling Rules
    • Glossary
      • General [1-3]
      • Introduction and Preamble
    • Overseas Rules
      • SRA Overseas Rules 2013

    The SRA Handbook is no longer in effect. It was replaced by the SRA Standards and Regulations on 25 November 2019.

    SRA Handbook

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    Insurance mediation activities

    Back to version 21

    Version 17 of the Handbook was published on 12/08/2016. For more information, please click 'History' Above

    Rule 9: Insurance mediation activities

    9.1

    Where a firm undertakes insurance mediation activities for a client, it must comply with appendix 1 to these rules.

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