Insurance Regulatory Compliance Specialists

Lou Penn & Associates, Inc., was established in 1993 to provide regulatory compliance services to the insurance industry. Since our entrepreneurial beginning, we have conducted seminars, developed market conduct compliance manuals, performed mock audits, and created market conduct auditing tools such as ComplianceWare^® that simplifies the examination process. We have recently created a new market conduct auditing tool called the Market Conduct Auditor® that is available for demo and sale.

Compliance is one of the most critical and complex elements in the financial services industry today. Understanding the numerous regulations and enforcing compliance is a key factor to organizational success.

The market conduct examination process is changing rapidly, especially with the advent of the new market conduct annual statement and the calls for data to determine if you are or are not in compliance. Let us provide you with the technology and efficiency to drive less expensive and more techno-compliance solutions.

Don't be surprised—be proactive and up-to-date with where the states are going. We can customize a course or presentation that is suited to your company's specific needs.

We provide a customized 1- or 2-day seminar for a particular state and line of business that will demonstrate how the "Market Conduct Auditor" can be used to monitor market conduct compliance and how you can use it to create self-audits which you can download on your own computers. Everything has been done to keep the process simple, allowing you to avoid time-consuming audits and tedious hunts for information.

Contact our insurance regulatory compliance office to arrange a consultation with one of our helpful agents.