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)


DOCUMENT TYPES: PDF PPT PRESENTATIONS AVAILABLE: 14

8:00
Registration and Continental Breakfast
9:00
Co-Chairs' Opening Remarks
Andrew H. Smith
Director and Associate General Counsel
Citigroup
Scott Mansolillo
Vice President & Chief Compliance Officer
W.R. Berkley Corporation
9:15
Developing Cost-Effective‚ Streamlined Compliance Procedures that Incorporate Jurisdictional Differences
Mr. Martin Feuer
Executive Vice President, Chief Compliance Officer
Zurich Financial Services
Ms. Kris DiGirolamo
Compliance Integration Officer
Allstate Insurance Company
Mr. Thomas Scherer
General Counsel and Managing Director
Swiss Re
-Moderator: Mr. Stephen W. Schwab
Partner
DLA Piper
1 file
Developing Cost-Effective, Streamlined Compliance Procedures that Incorporate Jurisdictional Differences
978.6 KB 33 pages Presentation
PDF - Developing Cost-Effective, Streamlined Compliance Procedures that Incorporate Jurisdictional Differences
10:45
Morning Coffee Break
11:00
How the New Administration and Financial Market Crisis Will Impact the Optional Federal Charter
Ms. Marliss McManus
Senior Federal Affairs Director
NAMIC
Mr. Peter Lefkin
President Gov. and External Affairs
Allianz of America
Robert Myers, Jr.
Partner‚ Insurance Group
Morris‚ Manning and Martin‚ LLP
12:00
State Perspectives: 2009 Regulatory Priorities
Mr. Robert E. Wagner
Chief Counsel
Illinois Department of Financial and Professional Regulation
Mr. Robert H. Easton
Deputy Superintendent and General Counsel
New York State Department of Insurance
13:00
Networking Luncheon for Speakers and Delegates
14:15
Creating Fail Safe Procedures to Ensure Broker and Vendor Compliance with State License‚ Filing and Supervisory Requirements
Mr. James Rabenstine
VP‚ CCO‚ Broker Dealer
Nationwide Insurance
1 file
Broker and Agent Licensing and Supervision
575.5 KB 10 pages Presentation
PPT - Broker and Agent Licensing and Supervision
14:55
Afternoon Refreshment Break
15:05
Prepare Your Compliance Programs for Reinsurance Reforms: NAIC Collateral Reforms‚ Emerging Regulations in the United States‚ and Beyond
Ms. Debra J. Hall
Executive Director
Global Risk Coalition
Mr. Steven Goldman
Commissioner
New Jersey Department of Banking and Insurance
1 file
Reinsurance Regulatory Modernization: Implementation of Framework
437 KB 12 pages Presentation
PPT - Reinsurance Regulatory Modernization:Implementation of Framework
Ms. Myra Lobel
Managing Director
Guy Carpenter and Company‚ LLC
-Moderator: Mr. Stephen W. Schwab
Partner
DLA Piper
16:15
Ensuring Compliant Disclosures and Notices Down to the Broker Level
Cynthia Borrelli
Member
Bressler Amery & Ross P.C.
1 file
Incentive Compensation, Contingent Commissions and Required Broker Disclosures
191.5 KB 12 pages Presentation
PPT - Incentive Compensation, Contingent Commissions and Required Broker Disclosures
17:00
Conference Adjourns
8:15
Continental Breakfast
9:00
Co-Chairs' Opening Remarks
9:15
Preparing for a New Regime: Implementing Standards to Incorporate a Principles Based Framework
Mr. Thomas Workman
President
LICONY
1 file
PRINCIPLES-BASED REGULATION
4.4 MB 20 pages Presentation
PPT - PRINCIPLES-BASED REGULATION
Mr. Scott Rothstein
New York State Commission to Modernize Regulation of Financial Services
New York State Dept. of Insurance
1 file
An Introduction to Principles Based Regulation
120.5 KB 10 pages Presentation
PPT - An Introduction toPrinciples Based Regulation
Mark Goodman
Partner
Freeborn & Peters, LLP
1 file
PROPOSALS FOR PRINCIPLES BASED INSURANCE REGULATION
305.5 KB 26 pages Presentation
PPT - PROPOSALS FOR PRINCIPLES BASED INSURANCE REGULATION
10:30
Implementing Successful Enterprise-Wide Ethics and Training Programs
Ms. Audrey Samers
Global Ethics and Compliance Officer
ACE Group Holdings
11:15
Morning Coffee Break
11:30
How to Ensure Effective Privacy and Security Procedures to Manage Third-Party Service Providers‚ Data Breaches and Information Held Abroad
Scott Mansolillo
Vice President & Chief Compliance Officer
W.R. Berkley Corporation
1 file
Privacy and Security Procedures to Manage Third-Party Service Providers, Data Breaches and Information Held Abroad
150 KB 12 pages Presentation
PPT - Privacy and Security Procedures to Manage Third-Party Service Providers, Data Breaches and Information Held Abroad
12:30
Networking Luncheon for Speakers and Delegates
13:45
Compliance with Consumer Protection Statutes: Incorporating Notice‚ Affiliate Sharing and Marketing Restrictions into Your Compliance Program
Andrew H. Smith
Director and Associate General Counsel
Citigroup
1 file
Compliance with Direct Marketing Requirements
191 KB 20 pages Presentation
PPT - Compliance with Direct Marketing Requirements
15:00
Afternoon Refreshment Break
15:15
Indexed Annuities and Suitability: Developing a Framework to Ensure Suitability with Sales Operations
Mr. Brian Atchinson
President and CEO
IMSA
1 file
The Insurance Marketplace Standards Association (IMSA)
438 KB 21 pages Presentation
PPT - The Insurance Marketplace Standards Association (IMSA)
Mr. Joseph Borg
Director
Alabama Securities Commission
2 files
SECURITIES AND EXCHANGE COMMISSION
1 MB 155 pages Presentation
PDF - SECURITIES AND EXCHANGE COMMISSION
File Number S7-14-08-Comments on the SEC’s Proposed Rule
212.5 KB 53 pages Presentation
PDF - File Number S7-14-08-Comments on the SEC’s Proposed Rule
Mr. James Rabenstine
VP‚ CCO‚ Broker Dealer
Nationwide Insurance
2 files
Issues on Indexed Annuities, Suitability & Seniors:
852 KB 33 pages Presentation
PPT - Issues on Indexed Annuities, Suitability & Seniors:
Comments on Commission’s Securities Act Release No. 8933
1.2 MB 127 pages Presentation
PDF - Comments on Commission’s Securities Act Release No. 8933
16:30
Conference Ends