GIDA General Insurance Distribution Activities

Introduction

General insurance distribution activity in the UK must be regulated by the Financial Conduct Authority or an appropriate Designated Professional Body (DPB).

To register with the RICS DPB scheme the insurance activities must be incidental to the provision of surveying services in the UK.

Firms may only register with one regulator.

Find out more about the RICS DPB scheme

GIDA Activities

Which of the following activities does your firm carry out or intend to carry out? Dealing in general insurance contracts as agent

Arranging (bringing about) deals in general insurance contracts

Making arrangements with a view to transactions in general insurance contracts Assisting in the administration and performance of general insurance contracts Advising on general insurance contracts

Agreeing to carry on Regulated Activities (as listed above)

Complaints

How many complaints has your firm received in relation to general insurance distribution activity in the last 12 months including those notified to your insurers?

https://www.rics.org/uk/upholding-professional-standards/regulation/regulatory-support/dpb-scheme-for-general-insurance-mediation/

2

Of the complaints received how many have the following status? Please enter a number for complaints at each status. Where there are none please state 0.

Open

Open with redress

Closed with no further action

Referred to RICS or Ombudsman

Of the above complaints, how many have been referred to your professional indemnity insurers? Where there are none please state 0.

Of the complaints received, how many clients were affected? Where there are none please state 0.

Professional Indemnity Insurance

Is your Professional Indemnity Insurance (PII) limit of indemnity at least €1,250,000 for each and every claim and €1,850,000 for all claims per annum? Visit the DPB scheme pages on our website for further guidance

Yes

Conduct

We will consider any issues regarding the conduct of your firm and/or its principals before approving registration.

You must ensure that when completing this information you comply with the General Data Protection Regulations or your local equivalent. We do not require personal details of third parties at this point (for example names of principals)

Yes No (If no you must ensure that on renewal of your firm's insurance the level of cover is increased to meet the minimum requirements)

https://www.rics.org/uk/upholding-professional-standards/regulation/regulatory-support/dpb-scheme-for-general-insurance-mediation/

3

In the last ten years, has the firm or any principal of the firm made any compromise or arrangement with its creditor, or otherwise failed to satisfy creditors in full?

If Yes What steps have been taken to prevent this happening again?

What was the outcome?

What were the circumstances?

When did this happen?

In the last five years, has the firm or any principal of the firm been the subject of any civil action relating to its professional or business activities which resulted in a finding against it by a court, or a settlement being agreed? A civil action is not criminal in nature and is a legal action brought to protect a private civil right or to bring about a civil remedy e.g. breach of contract

If Yes What was the outcome?

If this relates to a principal what are their responsibilities at your firm? For example: Board director, signatory on client accounts, complaints handling, company finances

Yes No

Yes No

4

What were the circumstances?

When did this happen?

In the last 10 years, has the firm or any principal of the firm been refused/restricted from carrying on any trade, business or profession for which a specific licence, registration or other authority is required?

If Yes What was the outcome?

If this relates to a principal what are their responsibilities at your firm? For example: Board director, signatory on client accounts, complaints handling, company finances

What were the circumstances?

When did this happen?

In the last 10 years, has the firm or any principal of the firm been refused entry to any professional body or trade association, or decided not to continue with an application?

If Yes What was the outcome?

Yes No

Yes No

5

If this relates to a principal what are their responsibilities at your firm? For example: Board director, signatory on client accounts, complaints handling, company finances

What were the circumstances?

When did this happen?

In the last 10 years, has the firm or any principal of the firm been reprimanded, warned about conduct, disciplined or publicly criticised by any professional or regulatory body?

If Yes What was the outcome?

If this relates to a principal what are their responsibilities at your firm? For example: Board director, signatory on client accounts, complaints handling, company finances

What were the circumstances?

When did this happen?

In the last 10 years, has the firm or any principal of the firm been made the subject of a court order at the instigation of any professional or regulatory body?

If Yes What was the outcome?

Yes No

Yes No

6

If this relates to a principal what are their responsibilities at your firm? For example: Board director, signatory on client accounts, complaints handling, company finances

What were the circumstances?

When did this happen?

In the last 10 years, has the firm or any principal of the firm been investigated on allegations of misconduct or malpractice in connection with its professional or business activities which resulted in a formal complaint being proved but no disciplinary order being made?

If Yes What was the outcome?

If this relates to a principal what are their responsibilities at your firm? For example: Board director, signatory on client accounts, complaints handling, company finances

What were the circumstances?

When did this happen?

In the last 10 years, has the firm or any principal of the firm been convicted of, or been the subject of, charges pending in relation to any criminal offence?

If Yes What was the outcome?

Yes No

Yes No

7

If this relates to a principal what are their responsibilities at your firm? For example: Board director, signatory on client accounts, complaints handling, company finances

What were the circumstances?

When did this happen?

In the last 10 years, has the firm or any principal of the firm been disqualified by the court, at any time, from being a director of a company under the Company Directors' Disqualification Act 1986, or given an undertaking not to do so?

If Yes What was the outcome?

If this relates to a principal what are their responsibilities at your firm? For example: Board director, signatory on client accounts, complaints handling, company finances

What were the circumstances?

When did this happen?

Yes No

8

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Signed

Date

Please send the completed form along with the Shareholders and Close Links form (where applicable)to regulation@rics.org

Open: Open with redress: Closed with no furtheraction: Referred to RICS or Ombudsman: Whatsteps have been taken to prevent this happening again: What was the outcome: What were the circumstances: What was the outcome_2: If this relates to a principal what are their responsibilitiesat your firm For example Board director signatory on client accounts complaints handling company finances: What were the circumstances_2: What was the outcome_3: If this relates to a principal what are their responsibilitiesat your firm For example Board director signatory on client accounts complaints handling company finances_2: What were the circumstances_3: What was the outcome_4: If this relates to a principal what are their responsibilitiesat your firm For example Board director signatory on client accounts complaints handling company finances_3: What were the circumstances_4: What was the outcome_5: If this relates to a principal what are their responsibilitiesat your firm For example Board director signatory on client accounts complaints handling company finances_4: What were the circumstances_5: What was the outcome_6: If this relates to a principal what are their responsibilitiesat your firm For example Board director signatory on client accounts complaints handling company finances_5: What were the circumstances_6: What was the outcome_8: If this relates to a principal what are their responsibilitiesat your firm For example Board director signatory on client accounts complaints handling company finances_7: What were the circumstances_8: What was the outcome_9: If this relates to a principal what are their responsibilitiesat your firm For example Board director signatory on client accounts complaints handling company finances_8: What were the circumstances_9: Text1: Text2: Text3: Date5_af_date: Date6_af_date: Date7_af_date: Date8_af_date: Date9_af_date: Date10_af_date: Date11_af_date: Date12_af_date: Date13_af_date: What was the outcome_7: If this relates to a principal what are their responsibilitiesat your firm For example Board director signatory on client accounts complaints handling company finances_6: What were the circumstances_7: Check Box14: OffCheck Box15: OffCheck Box16: OffCheck Box17: OffCheck Box18: OffCheck Box19: OffCheck Box20: OffCheck Box21: OffCheck Box22: OffCheck Box23: OffCheck Box24: OffCheck Box25: OffCheck Box26: OffCheck Box27: OffCheck Box28: OffCheck Box29: OffCheck Box30: OffCheck Box31: OffCheck Box32: OffCheck Box33: OffCheck Box34: OffCheck Box35: OffCheck Box36: OffCheck Box37: OffCheck Box38: OffCheck Box39: OffCheck Box1: OffCheck Box2: OffText4: Date14_af_date: