Where Compliance Meets the Future

30th Annual Conference

Seattle, WA   |   October 1-4, 2017

Who is Exhibiting and Their Booth Numbers

The Association of Insurance Compliance Professionals wishes to thank all our Business Partners for their ongoing participation at our meeting. Please be sure to visit the Business Partners during the Showcase on Sunday night and during breaks and lunch to learn more about the exhibitor products and services.


Booth 1: Martin & Company

Since 1993, Martin & Company has been one of the best service oriented companies in the industry. We have developed an outsourcing model that has been widely accepted by many U.S. carriers. Our professional insurance services are designed to assist you with getting products to market faster and creating opportunities. Our proprietary technology solutions are integrated into your workflow to keep all work transparent. We have a proven and effective approach that that produces positive results for our Carrier, Program Administrator and MGA clients.

  • Actuarial Consulting ... New Programs, Filing Support, LCM's, etc.
  • Product Development ... Policy Forms, Rating Plans and Rules
  • Compliance & Regulatory ... DOI Statutes, Bureau Monitoring, etc.
  • State Filing Services ... Countrywide support
  • Competitive Intelligence ... www.FilingsDirect.com
  • Licensing ... COA, Expansion Application, etc.


Booth 2: Lou Penn & Associates

29 Merrimac Drive
Pepperell, MA 01463-1459
Phone: 978-433-1917
Cell: 617-513-2491
Toll Free: 1-866-458-4333
Email: lapenn@charter.net

Lou Penn has had an extensive career in the compliance arena. After 20 years of state service with the New York, Florida, and Vermont insurance departments, he started his own business and was instrumental in setting up the compli- ance department at a large national insurer. He has performed mock audits and compliance training for many of the major insurers' in the US.

He created a market conduct compliance product, called Complianceware® which has become the countrywide standard that most insurers' use for market conduct compli- ance in the US.

Now he has created a more robust market conduct compli- ance product called Market Conduct Auditor® which is available. It is a web based software solution to enable an insurer to identify market conduct regulatory issues that are being enforced by a state DOI.

Market Conduct Auditor®

This product contains data from insurance companies that have received a Market Conduct Exam and includes the report. Report data has been organized to allow you to search on specific criteria up to nine levels deep of data to find the issue you are searching for. The state's market conduct criticisms are presented using multiple search criteria that allows the user to see results in different layouts depending on the criteria selected.

Market conduct compliance information and data can be selected based on multiple sets of criteria and the resulting data will identify the current market conduct criticisms for a state by line of business, by company operational areas: claims, company operations, complaints, filing requirements, marketing and sales, policyholder service, producer licensing, reporting and underwriting and rating, along with other linked organized criteria.

You can download a selected amount or all of the multiple database information that you search into an excel spreadsheet(s) that will allow you to use the data in the most convenient way possible. This product provides you with an easy and fast way to stay in compliance with the DOI since most of the compliance research work is done for you.

Market conduct criticisms are organized by state, line of business, subline of business, area examined, compliance item, detail item, issue, violation category, date, amount of fine, name of company, and cite reference, along with many other criteria. Highlighted text helps to quickly locate specific issues in statutes and regulations searched for in the cite text and the market conduct exam report text.

The purchaser can customize the product by adding their company's filings, procedure manuals and other relevant compliance information upon request.


Booth 3: O'Brien Insurance Solutions

Founded in 1974, OBRIEN Insurance Solutions is a provider of business solutions specifically designed to modernize and refine an insurance company's printed and digital customer communications to improve organizational collaboration, communication and customer experience to facilitate growth and transform business. OBRIEN's PEMS (Policyholder Engagement Management System) offering has modular components that can be deployed based on the insurer's needs.


Booth 4: KICS

Keep Information Collection Simple (KICS) by eliminating your paper forms and completing them online. Compliance checks, audits, inspections, investigations, and more can be managed with access to the raw data for analytics. KICS also includes a workflow management system for escalation and secure access. KICS Mobile even lets you complete forms on your tablet when offline..


Booth 5: AAIS (American Association of Insurance Services)

Established in 1936, AAIS serves the Property & Casualty insurance industry as the only national not-for-profit advisory organization governed by its member companies. More than 700 insurance carriers across the U.S. depend on AAIS for member-focused advisory solutions that support speed to market and bottom line growth. The AAIS collaborative approach delivers solutions comprising quality policy forms and manuals in commercial and personal lines, inland marine, and farm and ag business. Members benefit from a streamlined and efficient operation supporting superior service from an experienced team of product development, compliance, actuarial, and statistical reporting professionals. AAIS remains committed to its role as an effective intermediary between members and insurance regulators. In fact, each year AAIS makes nearly 2,000 State Filings and is the only advisory organization to file forms on behalf of members for the non-filed inland marine classes. AAIS also offers select filing services to non-members as well. For more information on AAIS, visit www.aaislonlineAAISonline.com or email membership@AAISonline.com.


Booth 6: Madison Consulting Group,Inc.

Madison Consulting Group, Inc. has been offering independent actuarial consulting services since 1987. We have offices in Madison, Georgia and Newtown Square, Pennsylvania and provide a full range of property /casualty actuarial and statistical data collection and reporting services. Our clients include state and federal regulatory agencies; law firms; insurance companies; managing general agents; and, public and private self-insurance programs.


Booth 7: McHugh Consulting Resources

McHugh Consulting Resources, Inc. is your insurance compliance and regulatory expert for life and health products. We stand ready to assist your organization in meeting the complex requirements faced by the insurance industry. Our services include regulatory research, state filing, policy drafting and product development, licensing/state admissions, and advertising review. We offer sound advice and a wealth of professional compliance expertise. Together with the state of the art research and compliance tools, McHugh Consulting Resources, Inc. can be your key resource for compliance.


Booth 8: Summit Compliance Group, LLC

Summit Compliance Group, LLC is a compliance consulting and outsourcing firm that serves the needs of the insurance and financial services industry. Our seasoned team has decades of compliance experience in both corporate and field environments, which translates into a broader and more insightful perspective of the industry. Services include risk assessments, compliance audits, advertising review, compliance training, development of policies & procedures, and compliance assistance with the DOL Fiduciary Rule. Based in Saint Paul, Minnesota, our firm is committed to developing practical solutions for the unique needs of our clients.


Booth 9: ISO/Verisk

ISO/Verisk serves insurers, reinsurers, agents and brokers, insurance regulators, risk managers, and other participants in the property/casualty insurance marketplace. Here's an outline of Verisk's products and services:

  • data to help insurers make independent decisions about their pricing
  • statistical and actuarial services
  • insurance policy language
  • rules needed to write and rate insurance policies
  • tools for predictive modeling and scoring of risk
  • information about specific properties and communities
  • claims data and other information for underwriting
  • tools for identifying and preventing insurance fraud
  • criminal records and other public information
  • information for marketing, loss control, and premium audit
  • risk consulting services


Booth 12: Westmont Associates

Westmont Associates, Inc. brings together an unparalleled team of seasoned professionals, including both contract/compliance specialists and attorneys, whose combined experience spans more than ten decades. Some of the many services that Westmont provides are: form, rate and rule filings (all product lines, all states); product development; company formation and licensing; agent/agency licensing; risk purchasing group registrations/renewals; redomestications and name changes; underwriting and compliance audits; mergers and acquisitions; claims management; due diligence; liquidations; rehabilitations; and reinsurance commutations.


Booth 13: Coulter & Associates

Founded in 1988, Coulter & Associates is a leading nationwide consulting firm in the areas of actuarial, compliance, product development, and state filing services. We pride ourselves on having reliable actuarial and compliance professionals available on demand for our clients. Our expert staff includes attorneys, as well as product specialists, with decades of insurance industry experience in all product lines.

We do not have any social media at this time, but our website (which is currently being revamped) is www.coulter-and-associates.com.

Coulter & Associates


Booth 14: Currin Compliance Services, Inc.

Products/Services: Currin Compliance provides services to life insurance carriers and their distribution partners. In addition to online/on-demand and in-person compliance education and training, CCS services include, but are not limited to: Advertising and Product review & filing, Compliance & Risk Mitigation, Market Conduct Exam Prep, ORSA & ERM Assistance, and more. Their mission is to deliver an unparalleled combination of knowledge, creativity, and superior problem-solving skills to each compliance challenge faced by their clients in the insurance industry. Compliance you can trust. Service you can rely on.


Booth 15 & 16: Perr&Knight

Founded in 1994, Perr&Knight provides insurance consulting and software solutions to the property & casualty and accident & health industries. Services include actuarial consulting, product development, insurance policy and forms consulting, regulatory compliance, state filings, licensing, technology consulting, statistical reporting, data services, and predictive analytics. Software includes StateFilings.com, a leading cloud-based state filings management solution. With offices in Santa Monica, Boca Raton, the New York Metro Area and Fort Worth and more than 100 insurance professionals, Perr&Knight is among the largest independent actuarial and insurance consulting firms in the United States


Booth 17 & 18: Wolters Kluwer

Wolters Kluwer delivers trusted content and software solutions to help you execute on the 7 key processes associated with Compliance Program Management. We can help ease the burdens of Regulatory Insight, Change Management, Risk Assessments, and Exam Management with the right combination of Content, Technology, and Consulting services to meet the high demands of the insurance industry. Learn more.


Booth 19: First Consulting

Products / Services: First Consulting & Administration, Inc. is a premier provider assisting the insurance industry in achieving business strategies with a focus on compliance and regulatory issues. Since 1969, First Consulting has advised and assisted companies across the country. The primary areas of practice include:

  • Product Development: Drafting, Filing, Research, DOL Fiduciary Rule consulting, assist in taking your products Digital
  • Advertising Compliance: Review, Webinars and Annual Seminar
  • Corporate Compliance: Compliance Training, COA filings, TPA licensing, Compliance Oversight, and a full range of Enterprise Risk Management (ERM) services including ORSA and Corporate Governance tailored to fit your needs.

More information about our Co-sourcing services is available at: www.firstconsulting.com


Booth 20: RegEd

RegEd is a leading provider of compliance technology solutions with relationships with more than 400 enterprise clients, including 80% of the top 25 broker-dealers and top 25 insurance companies. Established in 1994 by former regulators, the company is a recognized industry authority and has created the standard of excellence for rule-based and content-driven compliance automation for insurance companies, investment advisors and broker-dealers. RegEd solutions drive new levels of operational efficiency and enable firms to cost-effectively comply with regulations and mitigate risk. For more information, visit www.reged.com.


Booth 21 & 22: Thompson Reuters

Thomson Reuters bring together trusted information, managed services, software and expertise–an unrivaled combination that helps you manage customer, third party, compliance, enterprise and financial risk. Agile, innovative, and unrivalled anywhere in the marketplace, Thomson Reuters Risk Management Solutions help you go beyond mere risk avoidance and turn regulatory complexity into business opportunity. From regulatory change management to third party risk management to compliance training, Thomson Reuters can help you proactively create and sustain a culture of compliance, and build a reputation for consistently driving the best behavior and performance from your people and operations. Learn more https://risk.thomsonreuters.com/


Booth 23: S&P Global Market Intelligence

S&P Global Market Intelligence provides clients worldwide with unrivaled insight into the companies and markets they cover. Every day, we gather, analyze, and connect vast amounts of financial and industry data. The result? Streamlined, actionable intelligence to help you make business and financial decisions with conviction. Learn more about S&P Global Market Intelligence.


Booth 24: IIPRC

The Insurance Compact is an innovative vehicle formalizing the joint and cooperative action among compacting states, leveraging regulatory resources and expertise to establish Uniform Standards and form the foundation of a central clearinghouse for prompt review of asset-based insurance products. Companies utilizing the Insurance Compact have a way to prepare one filing submission under one set of standard product content requirements and subject to one centralized review and approval in 60 days or less, allowing one standard product to be marketed in up to 45 Compacting States. The Insurance Compact is a truly unique speed-to-market tool allowing companies to streamline their market and delivery system for asset-based insurance products. For more information, visit IIPRC website for more information.


Booth 25: SERFF

For more than 15 years SERFF has been an electronic solution for accurate submissions and efficient review of rate and form filings. A product of the NAIC that was built and is maintained by joint input from industry and regulators, SERFF strives to meet Speed to Market objectives in a cost-effective manner. Over the years, SERFF has grown to meet additional regulatory needs like the SERFF Filing Access Interface, which allows for the public viewing of SERFF filings via the Internet, and support for Plan Management functions of the ACA (Affordable Care Act). SERFF is now used in 53 jurisdictions and by more than 4200 insurance entities and nearly 650,000 transactions move through the system each year.