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The Insurance Distribution (Amendment) (EU Exit) Regulations 2019

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Assessment of suitability and appropriateness

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11.—(1) Chapter 3 (assessment of suitability and appropriateness) is amended as follows.

(2) In Article 9 (information to be obtained for the purposes of the assessment of suitability)—

(a)in paragraph 1, for “Article 30(1) of Directive (EU) 2016/97” substitute “rules 9A.2.1 and 9A.2.16 of the Conduct of Business sourcebook”;

(b)in paragraph 2, for “Article 20(1) of Directive (EU) 2016/97” substitute “rules 9A.2.3A, 9A.3.2 and 9A.3.2A of the Conduct of Business sourcebook”;

(c)in paragraphs 5 and 6, for “Article 30(1) of Directive (EU) 2016/97” substitute “rules 9A.2.1 and 9A.2.16 of the Conduct of Business sourcebook”.

(3) In Articles 11 (communication with customers regarding the assessment of suitability) and 12 (automated advice), for “Article 30(1) of Directive (EU) 2016/97” substitute “rules 9A.2.1 and 9A.2.16 of the Conduct of Business sourcebook”.

(4) In Article 14 (suitability statement), in paragraph 1, for “Article 30(1) of Directive 2016/97” substitute “rules 9A.2.1 and 9A.2.16 of the Conduct of Business sourcebook”.

(5) In Article 15 (assessment procedure)—

(a)for “Article 20(1) of Directive (EU) 2016/97” substitute “rules 9A.2.3A, 9A.3.2 and 9A.3.2A of the Conduct of Business sourcebook”;

(b)for “Article 30(2) of Directive (EU) 2016/97” substitute “rules 10A.2.1 and 10A2.2 of the Conduct of Business sourcebook”.

(6) In Article 16 (non-complex insurance-based investment products), in the opening words, for “Article 30(3)(a)(ii) of Directive (EU) 2016/97” substitute “rule 10A.4.1 of the Conduct of Business sourcebook”.

(7) In Article 17 (information to be obtained from the customer)—

(a)in paragraphs 1 and 2, for “Article 30(1) and (2) of Directive (EU) 2016/97” substitute “rules 9A.2.1, 9A.2.16. 10A.2.1 and 10A.2.2 of the Conduct of Business sourcebook”;

(b)in paragraph 3—

(i)for “Article 30(1) and (2) of Directive (EU) 2016/97” substitute “rules 9A2.1, 9A.2.16, 10A.2.1 and 10A.2.2 of the Conduct of Business sourcebook”;

(ii)for “Article 20 of Directive (EU) 2016/97” substitute “rules 9A.2.3A, 9A.3.2 and 9A.3.2A of the Conduct of Business sourcebook”.

(8) In Article 18 (periodic report), in paragraph 1, for “Article 185 of Directive 2009/138/EC of the European Parliament and of the Council” substitute “rules 13.1.2, 13.3.2, 14.2.11, 14.2.5, 14.2.7, 16.6.3, 16.6.3A and 20.4.7 of the Conduct of Business sourcebook and Annexes 1 and 2 to chapter 13 of the Conduct of Business sourcebook”.

(9) In Article 19 (retention of records)—

(a)in paragraph 1, for “Article 30(1) and (2) of Directive (EU) 2016/97” substitute “rules 9A.2.1, 9A.2.16, 10A.2.1 and 10A.2.2 of the Conduct of Business sourcebook”;

(b)in paragraph 2, for “Article 30(1) of Directive (EU) 2016/97” substitute “rules 9A.2.1 and 9A.2.16 of the Conduct of Business sourcebook;

(c)in paragraph 3, for “Article 30(2) of Directive (EU) 2016/97” substitute “rules 10A.2.1 and 10A.2.2 of the Conduct of Business sourcebook”;

(d)in paragraph 4, for “competent authority” whenever occurring, substitute “Financial Conduct Authority”.

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