3012 Assessment & 3013 Reporting Services

Turn to a team of experienced compliance professionals

Conforming to FINRA rules for assessing and testing written supervisory procedures can place a burden on your compliance team. We can make the process easier with seamless support from LIMRA’s 3012 Assessment & 3013 Reporting Services.

Our service provides both a method for assessing and testing written supervisory procedures and access to our team of compliance professionals. We can work with your team on any aspect of your team's assessment and reporting project at any time, including:

• Developing an assessment structure and test plan
• Matching your policies and procedures to regulatory guidelines and internal controls
• Independently helping with testing and auditing of supervisory controls
• Documenting test procedures
• Preparing annual compliance and supervision reports
• Identifying efficient and effective ways to improve procedures and supervision

Let us help you conduct your assessment, prepare reports to your CEO, and develop an action plan for any deficiencies identified.

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