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ACI : Conference-Papers : 2009 : 5TH ANNUAL INSURANCE REGULATION

5TH ANNUAL INSURANCE REGULATION

Thursday, February 26, 2009

About

An Unparalleled Faculty of Regulators and Compliance Officers Will Help You Prepare Your Compliance Programs for Impending State and Federal Reforms

The insurance industry is already experiencing federal intervention. How will the increase in intervention affect the Optional Federal Charter? How do you ready your compliance programs for the impending reforms?

American Conference Institute’s 5th Annual Conference on Complying with the Evolving Framework of Insurance Regulation will bring you an unparalleled faculty of state and federal regulators, so you can hear first-hand what changes will be implemented. Lead regulators from New York, Illinois, and New Jersey Departments of Insurance as well as the Alabama SEC will detail 2009 agendas as well as highlight practices that will come under the regulatory microscope in the upcoming year. Federal regulators from the FTC, Department of Treasury and the IRS will help you tackle red flags and implement the most recent enforcement guidelines. In addition, experts from Allianz, Zurich North America, the Hartford Financial Services Group, Swiss Re, and ACE will offer best practices on preparing your programs for the upcoming reforms. The faculty will also show you how to:

  • Streamline your compliance program to minimize penalties and improve uniformity in your rate, product and license filings
  • Develop effective training programs to ensure compliance from the top down
  • Improve procedures to manage broker and vendor compliance
  • Ensure suitability of your life insurance and annuity products
  • Maximize data security of on and offsite customer information

PLUS, add value to your attendance by also registering for the Pre-Conference Master Class:
Developing the Most Efficient AML and OFAC Compliance Procedures to Improve Your Company’s Competitiveness (Feb. 25, 2009, 1:30 p.m. - 4:30 p.m.)

Bring your questions and get ready to network with the leaders in the field. With so much impending upheaval in the industry, you cannot miss this exciting opportunity to prepare your compliance programs and get first hand insight from the individuals directing the changes over the next year.

Contents & Contributors

About

An Unparalleled Faculty of Regulators and Compliance Officers Will Help You Prepare Your Compliance Programs for Impending State and Federal Reforms

The insurance industry is already experiencing federal intervention. How will the increase in intervention affect the Optional Federal Charter? How do you ready your compliance programs for the impending reforms?

American Conference Institute’s 5th Annual Conference on Complying with the Evolving Framework of Insurance Regulation will bring you an unparalleled faculty of state and federal regulators, so you can hear first-hand what changes will be implemented. Lead regulators from New York, Illinois, and New Jersey Departments of Insurance as well as the Alabama SEC will detail 2009 agendas as well as highlight practices that will come under the regulatory microscope in the upcoming year. Federal regulators from the FTC, Department of Treasury and the IRS will help you tackle red flags and implement the most recent enforcement guidelines. In addition, experts from Allianz, Zurich North America, the Hartford Financial Services Group, Swiss Re, and ACE will offer best practices on preparing your programs for the upcoming reforms. The faculty will also show you how to:

  • Streamline your compliance program to minimize penalties and improve uniformity in your rate, product and license filings
  • Develop effective training programs to ensure compliance from the top down
  • Improve procedures to manage broker and vendor compliance
  • Ensure suitability of your life insurance and annuity products
  • Maximize data security of on and offsite customer information

PLUS, add value to your attendance by also registering for the Pre-Conference Master Class:
Developing the Most Efficient AML and OFAC Compliance Procedures to Improve Your Company’s Competitiveness (Feb. 25, 2009, 1:30 p.m. - 4:30 p.m.)

Bring your questions and get ready to network with the leaders in the field. With so much impending upheaval in the industry, you cannot miss this exciting opportunity to prepare your compliance programs and get first hand insight from the individuals directing the changes over the next year.

Contents & Contributors

Co-Chairs’ Opening Remarks
A. Scott Mansolillo, Vice President and Director of Compliance, The Hartford Financial Services Group (Hartford, CT)

Developing Cost-Effective, Streamlined Compliance Procedures that Incorporate Jurisdictional Differences
Moderator:
Stephen W. Schwab, Partner & Co-Coordinator, Global Insurance Practice Steering Committee, DLA Piper LLP (US) (Chicago, IL)

Creating Fail Safe Procedures to Ensure Broker and Vendor Compliance with State License, Filing and Supervisory Requirements
Jim Rabenstine, VP, Chief Compliance Officer, NISC Broker-Dealer, Nationwide Insurance (Columbus, OH)

Prepare Your Compliance Programs for Reinsurance Reforms: NAIC Collateral Reforms, Emerging Regulations in the United States, and Beyond
Steven Goldman, New Jersey Commissioner of Banking and Insurance, Chair, Reinsurance Task Force, NAIC (Trenton, NJ)

Ensuring Compliant Disclosures and Notices Down to the Broker Level
Cynthia Borrelli, Partner, Bressler, Amery, & Ross, P.C. (Florham Park, NJ)

Preparing for a New Regime: Implementing Standards to Incorporate a Principles Based Framework
Thomas Workman, President and CEO, LICONY (New York, NY)
Scott Rothstein, Executive Vice President & Deputy General Counsel, Mutual of America Life Insurance Company (New York, NY)
Mark Goodman, Partner, Dewey LeBoeuf LLP (Chicago, IL)

How to Ensure Effective Privacy and Security Procedures to Manage Third-Party Service Providers, Data Breaches and Information Held Abroad
Scott Mansolillo, Vice President and Director of Compliance, The Hartford Financial Services Group (Hartford, CT)

Compliance with Consumer Protection Statutes: Incorporating Notice, Affiliate Sharing and Marketing Restrictions into Your Compliance Program
Andrew Smith, Partner, Morrison & Foerster LLP (Washington, DC)

Indexed Annuities and Suitability: Developing a Framework to Ensure Suitability with Sales Operations
Brian Atchinson, President and CEO, IMSA (Bethesda, MD)
Joe Borg, Director, Alabama Securities and Exchange Commission, (Montgomery, AL)
Jim Rabenstine, VP, Chief Compliance Officer, NISC Broker-Dealer, Nationwide Insurance (Columbus, OH)