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3012 (a) Supervisory Control System Testing & 3130 (b) Annual Certification of Compliance Consulting

LIMRA Compliance and Regulatory Services provides seamless support for your 3012(a) Testing & 3013(b) Reporting requirements

LIMRA supports your team on any aspect of your assessment and reporting project including:

  • A review of your Form BD disclosure vs. business as actually conducted
  • A review of your Written Supervisory Procedures
  • Matching your policies and procedures to regulatory guidelines and internal controls
  • Developing an assessment structure and test plan
  • Testing supervisory controls systems
  • 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, help prepare reports to your CEO, and develop an action plan for any deficiencies identified.

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