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Compliance Issues

Objective	LIMRA's Solution
Choose and implement the annuity training you want	AnnuityXT
Proactively monitor annuity suitability	Customer Suitability Survey
Meet the NAIC’s Suitability in Annuity Transactions Model Regulation	AnnuityXT, Customer Suitability Survey
Streamline the establishment, testing, and reporting of supervisory controls	Supervisory Controls System
Test and assess written supervisory procedures	3012 Assessment & 3013 Reporting Services
Monitor producer sales practices and product suitability	Customer Assurance Program (CAP)
Perform producer background checks	Independent Producer Clearinghouse (IPC)
Conduct and document initial compliance training	Independent Producer Clearinghouse (IPC)
Conduct branch office exams	Field Audit Services
Address individual company concerns	Strategic compliance consulting
Network with peers and understand how they address compliance issues	LIMRA’s compliance conference, compliance committee, and study groups
Conduct cost-effective anti-money laundering (AML) training for producers and employees	AML Training in the United States AML and ATF Training in Canada

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