CEFLI is pleased to offer a new Advanced Compliance Forum event for experienced compliance professionals who are seeking a deeper dive on select, popular compliance topics.

The event will take place November 12-14, 2023 at the Renaissance Chicago Downtown Hotel. 

Participants should come prepared to engage in group conversations and to share their experiences with fellow attendees.  As a Forum, active group engagement and sharing is key!

While the agenda remains under develop, the event is intended to utilize an interactive workshop-oriented approach.

Day 1: 

Morning Break Out Sessions

Participants will select from one of the following tracks:

1A:  Compliance Oversight ProgramsTrack 1A is likely to include such elements as:  Show and Tell – Three Company Approaches to Compliance Oversight, Resource Round-up – Industry Resources for Building an Oversight Program, Program Composition – Elements of an Oversight Program, Testing Methods, and Group Discussion – Issues, Challenges & Solutions.

1B: Advertising & Social Media Track 1B is likely to include such elements as:  Case Study I and Discussion, Case Study II and Discussion, Tech Talk – Workflow, Retention & Monitoring, Case Study III and Discussion and Group Discussion – Issues, Challenges & Solutions.

Networking Lunch

Afternoon General Session

Market Conduct – Examination Management and Trends:  The afternoon general session is likely to include such elements as: Show and Tell: Three Company Approaches to Exam Management, Examination Outcomes: Overview of Examination Findings Over the Past Two Years, Senior Leader and Board Reporting – What’s Reported, When, to Whom and How, Group Discussion – Issues, Challenges & Solutions.

Day 2: 

Morning Break Out Sessions

Participants will select from one of the following tracks:

2A:  Suitability/Best Interest and Replacements:  Track 2A is likely to include such elements as:  Show and Tell – Three Company Approaches to Transaction Reviews, Case Study I and Discussion – Fixed Annuity Transaction, Case Study II and Discussion – Variable Annuity Transaction, Case Study III and Discussion:  Life Insurance Replacement Transaction, and Group Discussion – Issues, Challenges & Solutions.

2B:  Fraud, AML & Vulnerable Adult Programs:  Track 2B is likely to include such elements as: Show and Tell: Three Company Approaches to Fraud, AML and Vulnerable Adult Programs, Case Study I and Discussion – AML, Case Study II and Discussion – Vulnerable Adult, Case Study III and Discussion – Fraud and Group Discussion – Issues, Challenges & Solutions.

 Closing Remarks

The event agenda, registration and hotel reservation information will be added to this page in July.