2010 Compliance & Market Conduct
Exchange
March 24–26, 2010
Hyatt Regency Grand Cypress
Orlando, FL
Quick Reference
View
the 2010 Registration Brochure
Download the 2010 Registration Form
Sponsor
and Exhibitor Information
View
2009 Conference Sponsors and Exhibitors
Hotel
Information
Continuing Professional Education Credit
List
of 2009 Attendees by Company (PDF)
For More Information
Program
Overview
The
Compliance & Market Conduct Exchange is a unique meeting for you to examine
current regulatory issues and learn effective compliance practices from your
peers. This year's sessions will cover a broad range of strategic and
nuts-and-bolts issues, including:
-
Preparing for
tomorrow's regulations with yesterday's infrastructure
-
Increasing vigilance
for fraudulent agent practices
-
Managing, monitoring,
and documenting your company's online presence in an era of social media
-
Preventing privacy
breaches
For
the fifth year in a row, we'll help you get a quick read on hot topics and
industry practices in the popular "Nobody Else Does This" session. You
and other attendees will use hand-held voting devices to instantly compare your
understanding of new regulations and share ideas on compliance procedures.
The
meeting will also feature a revealing panel discussion by industry regulators.
Take
this opportunity to meet with fellow Compliance executives and professionals who
face the same challenges you do. The complete program will be available in early
January.
A
Note To Compliance Executives
This year's meeting features two executive roundtable meetings: a working
breakfast and a meeting with regulators. These forums will allow you to share
your thoughts on key issues in a collaborative environment.
View
the 2010 Conference Program
Who Should Attend?
Executives of insurance and financial services companies concerned
with compliance issues, including:
-
Chief Compliance Officers and Chief Internal Auditors
-
Legal Counsel, General Counsel and Attorneys
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Compliance and Market Conduct Managers
-
Compliance, Market Conduct and Legal Staff
-
Audit and Risk Management Managers & Staff
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Advertising, Marketing and Sales Managers
-
IMSA Assessment Team Members
-
AIRC Designees who
receive $100 off the member rate when they register
WEDNESDAY,
March 24
3:00–6:00
PM
Registration
3:30–4:45
PM
Ask the Experts
We’re
stationing experts from the Compliance & Market Conduct Committee and
LIMRA’s Compliance and Regulatory Services team at tables throughout the room
to discuss hot topics and share company practices — in a speed-dating format!
Change tables every 15 minutes to discuss topics including advertising review,
what to expect in an AML audit, compliant and successful marketing to seniors,
what’s new in escheatment audits, new product review, replacements,
and a Web 2.0 primer.
4:45–5:00
PM
Break
5:00–6:00
PM
Early Bird Session
Privacy
Deb Hampson
Assistant Vice President and Assistant General Counsel, The
Hartford
Larry
J. Niland, CLU
Senior Regulatory Advisor, LIMRA
Privacy
issues touch every part of every firm today, from how clients and producers
access information, to outsourcing, to vendor relationships. How are the latest
privacy rules changing the way you do business? Explore how recently enacted
state regulations and stepped-up enforcement by SEC and FINRA are forcing firms
to change the way they do business.
6:00–7:00
PM
Welcome Reception
THURSDAY,
March 25
7:00–5:00
PM
R
egistration
7:00–8:00
AM
Continental Breakfast
8:00–10:30
AM
General Sessions
Deep
Impact: How the Economic Environment is Affecting the Life & Health Industry
Senan O’Loughlin
Senior Vice President, Clients Markets, Swiss
Re Life & Health America, Inc.
O’Loughlin
will share his insights into how the financial crisis continues to impact our
industry, and how the emerging economic environment will impact companies going
forward. He will highlight the actions companies have taken — and will take
— in response to the economy and to increasing regulatory scrutiny.
Regulatory
Panel
Joseph Price
Vice President, Corporate Financing Department, FINRA
Additional
speakers to be announced
This
year we’re moving one of our most popular break-out sessions to the main
stage. Regulators will share their perspectives on emerging industry issues and
exam priorities. Panelists will provide their insight into The Blueprint for
Regulatory Reform (National Office of Insurance), The NARAB (National
Association of Registered Agents and Brokers) Reform Act of 2009, and Risk Based
Exams.
10:30–10:50
AM
Refreshment Break
10:50
AM–12:05 PM
Concurrent Sessions
1.1
“Customer Focused” in a Regulatory World
Sam Houk
Senior Manager, Life Compliance, Allstate
Financial
Margaret
Rebello
Assistant Vice President, Amica Life Insurance Company
More
and more regulatory requirements are impacting customer service. How do you
comply with — and monitor compliance with — the myriad state, federal and
NAIC requirements affecting customer service? These and many other issues will
be front and center at this audience-participative panel discussion. You won’t
want to miss it if excellent customer service matters to your company!
1.2
What Will They Think of Next?
Ken Elder
Assistant Vice President, Market
Conduct Compliance, Lincoln Financial Group
Harry
Markland
Director, Special Investigations Unit, Genworth
Financial
Fraudulent
behavior never goes out of style, but the methods continue to evolve. Hear from
two experienced insurance company investigators who will discuss current risks,
emerging trends, and practical procedures for preventing, detecting, and
minimizing losses related to fraud.
1.3
Communications with the Public — Doesn’t Anyone Talk Anymore?
Ted Newton
Assistant Vice President, Compliance Education, MassMutual
Financial Group
Larry
Riddell
Director of Compliance, John Hancock Financial Network
Texting
and social networking are just the latest challenges to compliance professionals
who must ensure their producers' and company's communications meet FINRA and
state insurance standards. This panel will provide an overview of these
standards, and how they apply to the many ways — both traditional and modern
— to communicate with clients and prospects.
12:05–1:05
PM
Lunch
1:15–2:30
PM
General Session
Social
Media Are Here. Are You Ready?!
Karlyn Carnahan, CPCU
Principal, Insurance, Novarica
Kip
Gregory
The Gregory Group
Stephen
Selby
Director, Regulatory Services, LIMRA
John
Travagline, CRCP
Vice President, Compliance, IMSA
Online
social media have arrived… and they’re BIG! How will they impact our
industry? Receive an overview of social media and related Web 2.0 topics,
including how social media are being harnessed for marketing and distributing
insurance products. The panel will also discuss compliance concerns and share
quantitative information about what’s actually happening in the insurance
industry.
2:30–2:45 PM
Refreshment Break
2:45–3:45
PM
Concurrent Sessions
2.1
Fixed Annuity Suitability
James Bodovitz
Chief Risk Officer, Royal Alliance
Associates
Linda
Burm
Deputy Chief Suitability Officer, Allianz Life Insurance Company of North
America
Roy
Creedon
Assistant Vice President, Compliance, Sun Life Assurance Company of Canada
(U.S.)
State
insurance rules mandate that firms address suitability in fixed annuity sales.
Operations professionals must work closely with compliance departments to build
and maintain the right infrastructure to meet these requirements. Our panelists
will share best practice in suitability standards, application review,
post-issue monitoring, communicating with independent distribution channels,
customer satisfaction surveys, and handling complaints.
2.2
Outside Business Activities
James R. Mollo, CPA
Vice President of Operations and
Controls, Prudential
Katherine
M. Siino, CLU, ChFC
Director, Corporate Ethics and Compliance, MetLife
Outside
business activities involve a complex set of relationships between producers,
firms, and third parties. This session will examine issues concerning these
relationships, including business considerations, conflict of interest,
“selling away”, and fraud prevention — with perspectives from both
supervision and compliance.
2.3
Managing Regulatory Exams, Data Calls, and Inquiries
Lawrence A. Samplatsky
Vice President & Chief Compliance Officer, Lincoln
Financial Group
Kathleen
Pettit
Assistant Vice President, U.S. Compliance, John Hancock
It
seems like we’re all under increased scrutiny today. There are more types of
inquiries, they are more frequent, and they are broader in scope. Receive
practical advice and techniques you can put to work immediately to help avoid
some of the pitfalls of managing regulatory exams, data calls, and inquiries.
3:45–4:00
PM
Refreshment Break
4:00–5:00
PM
Concurrent Sessions
3.1
Outsource Your Processes, Not Your Compliance Program
Jane Brue
Compliance Director, Long Term Care
Group, Inc. (Univita Health Inc.)
Roy
Creedon
Assistant Vice President Compliance, Sun Life Assurance Company of Canada (U.S.)
Mark
Grimmett
Sales, Product & Marketing Compliance Leader, Genworth Life Insurance
Company
Many
companies outsource certain key operational functions to third party service
providers. What are the compliance considerations with respect to due diligence
and ongoing monitoring? Are there special requirements when the services relate
to variable products? What about service providers located outside the U.S.?
Learn more about challenges and solutions involved in developing and
implementing a compliance program for your service provider.
3.2
Handling Customer Complaints
Daniel Bradley, Director of
Customer Relations, John Hancock Financial Services
Michael
Sweeney
Territorial Compliance Officer, Allstate Financial Services
Gain
a fresh perspective on handling customer complaints. Bradley and Sweeney will
discuss the logistics of complaint handling including work flow tracking,
reporting metrics, and consistency in complaint handling. They will also discuss
recent trends in customer complaints.
3.3
Social Media Practices: Opportunities and Challenges
Debbi Corej, CBA, CFSA
Vice President, Compliance, Prudential
Donna
Morgan
Second Vice President and Chief Compliance Officer, National Life Insurance
Company
What
can firms do today to address social networking sites such as LinkedIn, Facebook
and Twitter? Join our speakers as they lead a lively panel discussion on the
challenges these sites pose from regulatory and technological perspectives.
Corej and Morgan will also examine how retail agents, registered
representatives, and home office Marketing Departments may use these sites.
FRIDAY,
March 26
7:00–8:00
AM
Breakfast Buffet
8:00–10:00
AM
General Session
Leading
Through Turbulent Times
Disney Imagineers
Disney Institute
A
down economy can be a time for caution. It can also be a chance to outpace your
competition. In this engaging session, you’ll learn proven business
philosophies that will provide creative ways to weather the economic climate and
effectively meet the challenges of today’s business environment.
Insurance
Fraud: How Big Is It?
Barry Lanier, FLMI, CLU
Chief, Bureau of Investigation, Florida
Department of Financial Services
Joseph
Shimko, ALHC
Field Benefit Consultant, Northwestern Mutual
Charles
B. Ziegenbein
Senior Director, Investigative Services, John Hancock Financial Services
The
troubled economy is driving increased consumer fraud. Hear from a panel of
industry and regulatory experts about current fraud trends and schemes, and the
measures being taken to combat fraud.
10:00–10:20
AM
Refreshment Break
10:20–11:45
AM
General Session
Nobody
Else Does This!
Patrick J. Caulfield
Vice President & Chief Compliance Officer, Lincoln
Financial Distributors, Inc.
Marijo
F. Murphy, CLU
Vice President, New York Life Insurance Company
Stephen
Selby
Director of Regulatory Services, LIMRA
How
often have you heard that your firm’s procedures are going to cost it business
because “Nobody else does this”? Using hand-held voting devices, you and
your peers will give frank, anonymous answers to gain a quick read on those
compliance issues your marketing VP hates. Now you can quickly:
The
session ads a fresh dimension to networking! Send the questions or topics you
would like addressed in this session to Maryann Glotzer at mglotzer@limra.com.
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Hyatt
Regency Grand Cypress
One
Grand Cypress Blvd.
Orlando,
FL 32836
Reservations:
Phone: 407-239-1234
|
 |
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Make
your hotel reservations early!
Make your hotel reservations by February 26, 2010, and enjoy a room rate
of just $149.00 (plus tax) per night for a single/double, based on
availability. And as a conference attendee, this rate is available to you
March 20–29. Reservations should be made by calling the hotel directly at 407-239-1234. In order to receive the
group rate of $149/night, please tell them you are affiliated with LIMRA
or LOMA when asked what group you’re with. Check in is at 4:00 p.m. and
check out is at 12:00 noon.
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Registration Information
Register
by February 26, 2010, and save!
Early-Bird Rates:
LOMA and/or LIMRA Member: $895
AIRC Designees: $795
Nonmember: $1,295
Register after February 26,
2010:
LOMA and/or LIMRA Member: $995
AIRC Designees: $895
Nonmember: $1,395
Additional
Information:
Spouse/Guest
Fee:
A fee of $75 is available to spouses and guests of registered attendees.
Individuals in an industry-related position, co-workers, or associates do not
qualify. We invite spouses/guests to participate in the event's food and social
functions and ask that they wear their badge to these events. Participation in
the general sessions and workshops is limited to those who have paid the full
registration fee to attend the conference.
Refund Policy:
All cancellations and refund requests must be received in writing. “These requests
carry a $100
U.S. administrative charge. Full refunds minus the administrative fee will
be granted on written requests received no later than ten
business days before the meeting start date.” No
refunds will be granted if the request is received within three business
days of the meeting. If for any reason a meeting is cancelled, LOMA will
refund the total registration fee. However, LOMA will not be responsible
for any travel, hotel accommodations or other costs incurred.
Attire
The dress code for this conference is business casual.
Car
Rental
Avis
is the official car rental agency for this
conference. Reserve a car by calling Avis at 1-800-331-1600, or click here.
Refer
to meeting discount number T085399. You may also want to consider a taxi or
shuttle from the airport to the hotel.
Continuing
Professional Education Credit
CPE:
Earn CPE credit hours at this conference.
Intermediate
level. No prerequisites or advance preparation required. Instructional delivery
method includes lecture. In accordance with the standards of the National
Registry of CPE Sponsors, CPE credits are based on a 50-minute hour.
LOMA
is registered with the National Association of State Boards of Accountancy as a
sponsor of continuing professional education on the National Registry of CPE
Sponsors. State boards of accountancy have final authority on the acceptance of
individual courses for CPE credit. Complaints regarding registered sponsors may
be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North,
Suite 700, Nashville, TN 37219-24170. Web site: www.nasba.org.
For more information regarding administrative policies such as complaints and
refunds, please contact our offices at 770-984-6453.
CLE:
Although pre-approved CLE credits are not available for this conference,
attorneys may contact their bar association in advance to determine what items
(i.e., program outline, handouts, etc.) should be gathered at the conference so
that they can submit the appropriate documentation to their bar associations and
receive credits.
PACE
Credits: A PACE form will be available for your records. This will qualify for
CLU and ChFC continuing education requirements only. If you have any questions
or need more information about the PACE program, please contact Student
Services, The American College, 270 Bryn Mawr Avenue, Bryn Mawr, PA 19010, phone
(619) 526-1490.
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For
More Information
| At LOMA: Jim Huffman |
At LIMRA: Maryann Glotzer |
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