Insurance Regulatory Compliance

Our services:

Regulatory compliance

With the regulatory environment continuously changing as regulations are amended and adopted, we have a framework to deal with regulatory changes as they arise and affect our clients. Some examples of these service offerings are below:

  •  Program design and development
  • Policy and procedure design and development
  •  Compliance control effectiveness assessments
  •  Mock market conduct exams
  •  Field inspection outsourcing
  •  Regulatory required independent assessments

Our full scope practice can also help your firm with:

[spoiler title=”Compliance, governance & organization“]

Compliance cost reduction
Compliance organizational effectiveness
Compliance risk assessments
Compliance measurement and reporting
Culture and ethics

[/spoiler] [spoiler title=”Financial reporting compliance“]

Model audit rule
Sarbanes AS5
IT internal controls
Other internal controls work

[/spoiler] [spoiler title=”Operational & technology compliance“]

IT security
Business process integration
Privacy frameworks
Records management
GRC technology identification and adoption

[/spoiler] [spoiler title=”Risk management“]

Enterprise Risk Management (ERM)
Financial modeling
Operational risk
S&P rating readiness/preparedness
Integrated Governance, Risk, and Compliance (iGRC)


Examples of key regulatory compliance topics:

  • Sales suitability
  • Equity indexed annuity adoption
  • Supervisory control monitoring and testing
  • Anti-money laundering
  • Replacements
  • Market conduct coordination
  • Preparing for potential federal regulation options