Network with your peers
LIMRA provides you access to crucial industry knowledge and connects you to industry peers. The following study groups and committees are your opportunity to better understand the industry, spark new ideas, and plan for the future.
Special Compliance Working Groups
As important issues arise, LIMRA brings members together to discuss industry impact and develop cost-effective shared solutions that help ensure compliance across the industry. In 2016, these groups have included one focusing on Detecting Elder Financial Abuse and another on the DOL Fiduciary Rule. To be included on the emailing list for these types of working study groups, please send an email to email@example.com.
Regulatory Compliance Exchange
The Forum for Sharing Best Practices
- Meeting: Once annually, in person
- Who attends: Chief Compliance Officers; Compliance, Audit, Legal, Market Conduct, and Risk Management executives, and staff
- Purpose: LIMRA and LOMA partner with industry executives to provide this opportunity for attendees to discuss crucial regulatory issues and learn effective compliance practices from peers and topical experts. Expert presenters include industry leaders and regulators.
Advertising Compliance Roundtable
- Meetings: Twice annual in-person meetings at LIMRA (Windsor, CT)
- Who attends: Advertising review professionals from LIMRA member companies.
- Purpose: Hear from industry experts, and discuss best practices and key issues in advertising compliance. The spring meeting focuses on insurance advertising compliance and the fall meeting has a Broker-Dealer focus.
Annuity Suitability Study Group
- Meetings: Twice annually, in person
- Who attends: Individuals responsible for annuity suitability practices, including annuity, compliance, and suitability leaders, and chief compliance officers from companies that are members or affiliated members of LIMRA
- Purpose: Identify effective industry practices and processes, share best practices, and discuss resource gaps that may be addressed with shared solutions.
Broker-Dealer Services Committee Roundtable
- Meetings: Twice annual in-person meetings (one following FSI’s OneVoice Conference and a summer meeting in the Midwest).
- Who attends: Heads of Broker Dealers and Variable/Investment Product Sales, plus Broker-Dealer Operations and Compliance
- Purpose: Discuss how to stay ahead of regulatory changes, technological enhancements, and issues affecting the sale of variable products. Provide guidance on LIMRA research.
CAP Users’ Group
- Meetings: Periodic
- Who attends: Employees of any company participating in the Customers Assurance Program (CAP)
- Purpose: Participants discuss regulatory activity, compliance best practices, streamlining procedures (including in–house reporting and follow up), and how companies use CAP data in their operations.
Chief Compliance Officer Roundtable
- Meetings: Quarterly conference calls.
- Who attends: Senior-most Chief Compliance Officers from LIMRA members. Please contact Stephen Selby at firstname.lastname@example.org to discuss who from your company should participate.
- Purpose: Discuss industry issues and effective strategies.
Market Conduct Study Group
- Meetings: Twice annual in-person meetings. A Midwest group is being explored.
- Who attends: Individuals responsible for compliance, regulator interactions, and market conduct
- Purpose: Discuss current market conduct issues, share best practices, and benchmark against practices of other companies. Participants suggest discussion topics in advance. Co-hosted by LIMRA, Delaware Life, and Liberty Mutual.
New England Compliance Roundtable Study Group
- Meetings: Quarterly in-person meetings at LIMRA (Windsor, CT)
- Who attends: Securities compliance professionals
- Purpose: Attendees hear from industry experts and discuss industry issues. Participants suggest discussion topics in advance. Topics can include: US securities compliance and regulatory issues, and current and proposed federal, SRO, and state regulations for RIAs, BDs, and insurance companies. Meetings are often followed by an informal networking social event.
Regulatory Compliance Committee
- Meetings: Monthly calls plus two in-person meetings — at the Regulatory Compliance Exchange and at LIMRA.
- Who attends: Invited Compliance executives
- Purpose: Discuss current compliance and market conduct issues, guide LIMRA research on these issues, and plan and develop LIMRA's and LOMA’s annual Regulatory Compliance Exchange.
Small Company Compliance Committee
- Meetings: Quarterly calls plus yearly in-person meeting at the Regulatory Compliance Exchange
- Who attends: CCOs and Compliance executives from small life insurance companies, subsidiaries of larger companies, and small BDs. This group is a subset of the Regulatory Compliance Committee.
- Purpose: Focuses on managing an effective compliance program with limited human and financial resources.
Voluntary/Worksite Benefits Regulatory and Compliance Study Group
- Meetings: Twice annual in-person meetings
- Who attends: Invited individuals who are chief in-house counsel, or Chief Compliance Officers.
- Purpose: Explores the unique challenges and opportunities in the regulatory and compliance environment of group and individual voluntary/worksite benefits. Topics may include enrollment, benefit administration, technology, private exchanges, and other current issues.
For more information, please contact Carolyn Clement at email@example.com.