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Compliance

Advantage in a Regulatory World


In today’s highly regulated financial services industry, effective risk management underpins your company’s success. Innovative products and sophisticated distribution strategies are only as good as your internal compliance standards and practices. Profits of a product line earned over many years can evaporate as a result of regulatory sanctions, fines, and class-action lawsuits.

Our Compliance & Regulatory Services professionals offer knowledge, advice, and solutions informed by initiatives with global, national, and state regulators, law firms, and compliance professionals — and enhanced by our industry-focused research. Behind the curtain, we provide unmatched contemporary insight to guard your business and provide brand advantage.

View recent issues of LIMRA Regulatory Review Newsletter.

How-Help-01 HOW MAY WE HELP YOU? 

Newsletter

LIMRA Regulatory Review
Gain insights into today’s regulatory concerns and receive suggestions for meeting regulatory obligations.

MEETINGS

Visit our booth at the 2014 FINRA Annual Conference to discuss how we can help you meet regulatory requirements.


CUSTOMER AND INDUSTRY ENGAGEMENT

Compliance 1 Engage with consumers to understand their brand experience via customized surveys and compliant social media practices. And connect with your peers and industry knowledge to learn about the latest effective regulatory compliance strategies.

MANAGING RISK

Compliance 2 LIMRA sets the bar with proprietary services that have become the industry standard. Featuring programs developed with active participation from prominent industry experts and shaped and field tested by our clients, all of our offerings include the training, tracking, and reporting capabilities that hold up to regulatory scrutiny while also meeting your own requirements.

EDUCATION AND TRAINING

Compliance 3 Help your compliance team, field managers, and producers understand and address ever-changing requirement with our industry-focused support for your annuity CE and AML programs. We also provide social media training developed specifically to help advisors compliantly connect with clients and prospects online.