Regulatory Compliance for the Insurance Industry

Thursday, January 31, 2008

About

With financial products being a focus of regulators over the last several months, the eyes of the regulators are sure to fall on the insurance industry more intensely than in years past. And, this year saw the perennial task of achieving compliance continue to expand. State regulation is increasingly stringent and as always, a patchwork of differing requirements and expectations from the regulators. Meanwhile, federal regulators have been scrutinizing more aspects of the insurance industry. A new Optional Federal Charter is working its way through Congress, and key states such as New York are advocating initiatives such as principles-based regulation which could fundamentally change insurance regulation.

How do you integrate new legal and regulatory developments into effective, seamless compliance? What’s essential and what’s just not practical? What do you need to do to get your organization to a stage where you can say with certainty that your enterprise-wide compliance strategies are really working?

For answers, look no further than this publication from the American Conference Institute’s 4th Annual conference on Regulatory Compliance for the Insurance Industry. With a faculty packed with senior compliance professionals and regulators, and a program that covers all the hot-button issues, you can be assured that you’ll come away with practical, timely information you can really use.

Contents & Contributors

About

With financial products being a focus of regulators over the last several months, the eyes of the regulators are sure to fall on the insurance industry more intensely than in years past. And, this year saw the perennial task of achieving compliance continue to expand. State regulation is increasingly stringent and as always, a patchwork of differing requirements and expectations from the regulators. Meanwhile, federal regulators have been scrutinizing more aspects of the insurance industry. A new Optional Federal Charter is working its way through Congress, and key states such as New York are advocating initiatives such as principles-based regulation which could fundamentally change insurance regulation.

How do you integrate new legal and regulatory developments into effective, seamless compliance? What’s essential and what’s just not practical? What do you need to do to get your organization to a stage where you can say with certainty that your enterprise-wide compliance strategies are really working?

For answers, look no further than this publication from the American Conference Institute’s 4th Annual conference on Regulatory Compliance for the Insurance Industry. With a faculty packed with senior compliance professionals and regulators, and a program that covers all the hot-button issues, you can be assured that you’ll come away with practical, timely information you can really use.

Contents & Contributors

PRINCIPLES-BASED REGULATION: PRACTICAL RAMIFICATIONS
Wolcott B. Dunham Jr., Debevoise & Plimpton LLP (New York, NY)
Edwin G. Schallert, Debevoise & Plimpton LLP (New York, NY)

DEVELOPING AND MAINTAINING A CODE OF ETHICS
Scott Mansolillo, The Hartford (Hartford, CT)

INTEGRITY FIRST: ACE’S ETHICAL CULTURE
Audrey Samers, New York State Insurance Department (New York, NY)

ENFORCEMENT PRIORITIES: THE REGULATORS SPEAK
Christopher Ehrman, SEC, Division of Enforcement (Washington, D.C.)
Jerry L. Whitfield, California Department of Insurance
Stephen L. Schwab, DLA Piper (Chicago, IL)

HIGH PROFILE ISSUES IN MARKET CONDUCT
Jerry L. Whitfield, California Department of Insurance

MAINTAINING ON-GOING AML COMPLIANCE: STRATEGIES FOR SUCCESS
Melvin Schwechter, Dewey & LeBoeuf LLP, (Washington, DC)

OFAC REGULATIONS: EFFECTIVE COMPLIANCE AND COMMUNICATION STRATEGIES
David Brummond, OFAC (Washington, D.C.)

IMPLEMENTING SUCCESSFUL ENTERPRISE-WIDE COMPLIANCE PROGRAMS AND PROGRESSES
Martin Feuer, Zurich North America (New York, NY)

IMPLEMENTING SUCCESSFUL ENTERPRISE-WIDE COMPLIANCE PROGRAMS AND PROCESSES
Carol Baldwin Moody, Nationwide Mutual Insurance Company (Columbus, OH)

MANAGING PRIVACY COMPLIANCE REQUIREMENTS: KEEPING PACE WITH CHANGING REQUIREMENTS TO PROTECT DATA
Nancy Baran, Prudential Insurance Company of America (Newark, NJ)

MANAGING YOUR IT COMPLIANCE: MEETING DATA RETENTION, PRIVACY AND SECURITY REQUIREMENTS
Nancy Baran, Prudential Insurance Company of America (Newark, NJ)
Alan M. Winchester, Harris Beach PLLC (New York, NY)

CONDUCTING A RISK ASSESSMENT OF YOUR COMPLIANCE PROGRAM
Kristine DiGirolamo, Allstate Insurance Company (Northbrook, IL)
Margaret Sperry, Massachusetts Mutual Life Insurance Company (Springfield, MA)



DOCUMENT TYPES: PRESENTATIONS AVAILABLE: 0