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DTSTART;TZID=America/New_York:20250427T080000
DTEND;TZID=America/New_York:20250429T170000
DTSTAMP:20260430T102857
CREATED:20250108T190704Z
LAST-MODIFIED:20250429T130316Z
UID:10977-1745740800-1745946000@cefli.org
SUMMARY:2025 Advanced Compliance Forum
DESCRIPTION:Sessions & Materials:\n\nSuitability & Best Interest Programs\, Controls\, Challenges and Regulatory Activity\nThe NAIC Suitability in Annuity Transactions Model Regulation has been adopted by nearly every state\, leading to a meticulous refinement of compliance programs.  Join a panel of experts in suitability and best interest practices as they share insights into their processes and controls\, discuss the challenges they face\, and offer their perspectives regarding regulatory expectations. \nPresentation \n\n\nAdvertising & Social Media Review\nAdvertising and social media compliance programs demand strong attention to detail\, robust documentation and effective monitoring controls.  Join a panel of compliance experts as they discuss their programs and share insights regarding the use of technology solutions to address current challenges facing the industry.\nPresentation\n\n\nComplaint Management & Leveraging Learnings\nComplaints are invaluable opportunities for growth!  Discover current complaint trends and learn how to enhance program efficiencies.  Explore how companies share complaint insights with business partners to refine company processes and improve the overall customer experience. \nPresentation\n\n\nCompliance Oversight Programs\nAs regulatory requirements expand\, so too does the scope of compliance oversight responsibilities.  The phrase “You’re gonna need a bigger boat” certainly resonates.  Yet\, with limited compliance resources\, efficiency and effectiveness are essential for maintaining a right-sized program.  Join a panel of compliance oversight experts as they share their approaches and insights on the current state of compliance oversight programs and what the future may hold.\nPresentation\n\n\nAML Monitoring\, Investigation & SAR Reporting\nThe former president of Mexico aptly stated\, “Money laundering is giving oxygen to organized crime\,” reflecting a sentiment shared by many.  Company AML programs aim to sever the financial lifelines that support illicit activities.  The significance of a robust and effective AML program cannot be overstated.  Join a panel of experts as they share their strategies and discuss how they manage their investigation and reporting processes.\nPresentation\n\n\nCompliance in the AI Era: Keeping the Beat Between Innovation and Regulation\nNew technologies don’t emerge in a vacuum—they’re part of a bigger picture\, where collaboration is key to success. This is especially true when life insurance companies begin integrating artificial intelligence (AI) into their operations. Compliance plays a critical role in this process\, but what exactly does that role look like? Is compliance simply the “gatekeeper\,” or is it a hands-on participant in AI-driven innovation? Join a panel of compliance experts as they explore how AI is reshaping their responsibilities\, expanding their workload\, and influencing governance frameworks that support these cutting-edge initiatives. Get a deeper understanding of where compliance fits in the AI landscape—and how it’s evolving to keep pace with new technology.\nPresentation\n\n\nFraud Identification\, Investigation & Reporting\nWhile Greek philosopher Sophocles wisely stated\, “Rather fail with honor than succeed by fraud\,” fraudsters clearly have a different perspective.  The rapid increase in fraudulent attempts and the ingenuity of fraudsters have compelled life insurance fraud professionals to constantly improve their programs\, refine their controls\, and adapt their approaches.  Join a panel of experts as they discuss current trends\, the role of technology\, and best practices for managing the investigation and reporting process.\nPresentation\n\n\nMarket Analysis & Examination Management\n“Trust but verify” captures the essence of a compliance oversight program and serves as the cornerstone of regulatory market analysis and examination processes.  As regulations evolve\, technology advances\, and regulatory expectations shift\, compliance professionals must adapt their approaches to effectively manage market analysis requests and examination processes.  Join a panel of experts as they discuss current trends\, management strategies\, and how companies can leverage insights gained from market conduct examinations.\nPresentation
URL:https://cefli.org/event/2025-adv/
CATEGORIES:Advanced Compliance Forum
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BEGIN:VEVENT
DTSTART;TZID=America/New_York:20230112T080000
DTEND;TZID=America/New_York:20231114T170000
DTSTAMP:20260430T102857
CREATED:20250108T191416Z
LAST-MODIFIED:20250108T192753Z
UID:10983-1673510400-1699981200@cefli.org
SUMMARY:2023 Advanced Compliance Forum
DESCRIPTION:CEFLI 2023 Advanced Compliance Forum\nCEFLI’s inaugural Advanced Compliance Forum took place in November of 2023. The event materials are included below: \n\n1A:  Compliance Oversight Programs: Session Materials\n\nShow and Tell– Three Company Approaches to Compliance Oversight\nRisk & Program Structure– Getting Started\nResource Round-up– Industry Resources for Building an Oversight Program\n\n\n\n\n1B:  Advertising & Social Media: Session Materials\n\nCase Study I and Discussion– An Annuity Ad: Session Materials\nCase Study II and Discussion– A Life Insurance Ad: Session Materials\nCase Study III and Discussion– A Social Media Post: Session Materials\nTech Talk– Workflow\, Retention & Monitoring\nGroup Discussion– Issues\, Challenges & Solutions\n\n\n\n\nMarket Conduct – Examination Management and Trends: Session Materials\n\nShow and Tell: Three Company Approaches to Exam Management\nExamination Outcomes: Overview of Examination Findings in Recent Years\nSenior Leader and Board Reporting– What’s Reported\, When\, to Whom and How\nGroup Discussion– Issues\, Challenges & Solutions\n\n\n\n\n2A:  Suitability/Best Interest and Replacements: Session Materials\n\nShow and Tell– Three Company Approaches to Transaction Reviews\nCase Study I and Discussion– Fixed Annuity Transaction: Session Materials\nCase Study II and Discussion– Variable Annuity Transaction: Session Materials\nCase Study III and Discussion- Life Insurance Replacement Transaction: Session Materials\nGroup Discussion– Issues\, Challenges & Solutions\n\n\n\n\n2B:  Fraud\, AML & Vulnerable Adult Programs: Session Materials\n\nShow and Tell l– Three Company Approaches to Fraud\, AML and Vulnerable Adult Programs\nCase Study I and Discussion– AML: Session Materials\nCase Study II and Discussion– Vulnerable Adult: Session Materials\nCase Study III and Discussion– Fraud: Session Materials\nGroup Discussion– Issues\, Challenges & Solutions
URL:https://cefli.org/event/2023-advanced-compliance-forum/
CATEGORIES:Advanced Compliance Forum
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