Claims Management Compliance

Claims Management Compliance is a designated compliance support services aimed at claims management companies (CMC). We have in-house consultants who have years of experience of providing compliance support to CMCs and representing CMCs at CMR audits and during investigations.

CMCs are currently regulated by the Claims Management Regulation Unit (CMRU) which is a unit of the Ministry of Justice. The CMRU is responsible for supervising CMCs’ compliance with the Conduct of Authorised Persons Rules 2018 which incorporates various regulatory rules such as the CMR’s Complaints Handling Rules 2015, data protection and rules on direct marketing.

The CMRU supervise CMCs’ compliance by conducting periodic onsite audits, obtaining intelligence from other regulators such as the Information Commissioner’s Office and receiving complaints data that is passed to them from the Legal Ombudsman or from complaints received directly from consumers.

How can Claims Management Compliance help?

Claims Management Compliance (CMC) are on hand to assist CMCs attain and maintain compliance. We are able to assist CMCs prepare for CMRU audits, conduct compliance health check audits and provide bespoke compliance advice as may be required. We understand that CMCs, like most businesses, are commercially driven. The objective of our services is to provide commercially beneficial input into CMCs’ businesses by mitigating and/or controlling regulatory risks and lowering regulatory risk exposure.

Our CMC Services

  • CMR Authorisation Support – Assistance with CMRU authorisation applications (including the provision of a claims pack and compliance policies & procedures) and assistance with post-submission information requests.
  • CMC Claims Pack – Provision of a claims pack which includes terms of business and a letter of authority.
  • CMC Data Due Diligence Pack – Provision of a due diligence pack which includes a data due diligence policy and due diligence form to ensure GDPR and PECR compliance.
  • CMC Policies & Procedures – Provision of a vulnerable customers policy and complaints handling procedure.
  • CMC Audit – An onsite audit of firms’ compliance with the Conduct of Authorised Persons Rules 2018.
  • CMC Remote Audit – A telephone and documentation audit of firms’ compliance with the Conduct of Authorised Persons Rules 2018.
  • CMC Audit Representation – Represent firms during CMRU audits.
  • CMC Investigation/Enforcement Representation – We make representations on behalf of firms in response to CMRU investigations and/or enforcement information requests.
  • CMC Outsource – You can outsource your complaints handling and data due diligence reviews to us.
  • CMC Bespoke Ongoing Compliance Support – We tailor our ongoing compliance support service to the needs of your organisation.
  • Bespoke Consultancy – Bespoke consultancy services based on the needs of your organisation.

If you require any information in regards to claims management compliance then please contact us below.

Here is what some of our customers had to say

  • Consumer Credit Compliance helped us getting through a nerve wrecking period of applying for full FCA authorization in the High Cost Short Term Credit space (a.k.a. payday loans). Our business depends on our FCA license and we could not be able to work without it. Our industry is also very strictly regulated and every aspect of the application had to be thoroughly examined. We had to make sure we are 100% compliant in everything we do including our websites, our marketing standards and practices, our regulatory business plan, business continuity policies, local approved persons and more. Consumer credit compliance were always professional and ready to help and this is what matters most! We also intend to use their ongoing support program for ongoing compliance

    Avner Brodsky
    Money Gap Group Limited


Windsor House, Cornwall Road, Harrogate, HG1 2PW

01423 522 599