Program Information
Executive Education
Roundtable Series
Thursday, November
6, 2008
7:30 A.M. – 1:00 P.M.
Life insurance industry
compliance and market conduct executives face complex issues every day.
LIMRA and LOMA’s Executive Education Roundtable Series can help chief
compliance officers and senior executives respond to these challenges.
Continuing education and professional development help keep your
career thriving and improve your business decisions. However, training
senior executives and staff members at the same time and in the same place
can be difficult due to differing needs, management responsibilities, and
confidentiality concerns.
Our Executive Education
Roundtable is a unique forum where chief compliance officers and senior
executives receive targeted content in
a collaborative environment for the best possible education and networking
experiences. At this exclusive event, you will focus on hot topics, learn
about real-life solutions, and hear how to lead your company along the
path of success.
As a professional handling
executive-level decisions at your company, when you register to attend the
Compliance & Market Conduct Exchange conference, you are eligible to
attend the Chief Compliance Officer Roundtable. To
qualify, you must carry the job title or job function of Chief Officer or
Senior Executive such as
-
CEO
-
Chief Compliance
Officers
-
Chief Officers
-
Senior Executives in the areas of compliance, market conduct, legal,
marketing, audit, etc.
Choose from the
Following Roundtable Topics:
Making Compliance Easier:
Building Bridges and Building Your Brand through Compliance
(Working Breakfast 7:30 – 8:00 A.M.)
Facilitator: Christine
Frederick, Vice President & Chief Compliance Officer, Insurance
Products Compliance, Lincoln Financial Group
Discuss results from a survey
of your peers on how they have made compliance easier, managed
expectations, built bridges and made compliance an integral part of
branding.
General Sessions 8:00 –
10:30 A.M.
Hiring and Retention
Strategies for a Competitive Compliance Marketplace
(10:50 – 11:50 A.M.)
Barbara Fitch, 2nd Vice President, Market Conduct
& Compliance, National Life Ins. Co.
John Rubén Flores, Vice
President, Litigation Counsel and Chief Compliance Officer, Phoenix Life
Ins. Co.
George E. Maden, JD, Vice President & U.S.
Chief Compliance Officer, Sun Life of Canada
This roundtable discussion
will focus on sharing best practices and providing strategic ideas for
overcoming hiring, retention and succession issues
including: n Hiring
more staff to meet compliance obligations
-
Finding qualified
individuals to hire
-
Staff retention and
providing them with interesting and challenging growth opportunities
-
Naming successors for
yourself and key direct reports
State &
Federal Relations Roundtable Discussion
(Working Lunch
11:50 A.M. – 1:00 P.M.)
Facilitator:
Michael Matlock, Vice President & Chief Compliance Officer, State Farm
Join us to
discuss current and upcoming state and federal regulations and what the
implications may be for the industry. What are your expectations, and what’s
next?
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2009
Program
Thursday,
November 6, 2008
Concurrent
session are marked with a code to help you plan your agenda:
7:15 –
8:00 A.M.
Registration & Continental Breakfast
8:00 –
10:30 A.M.
General Sessions
Compliance
Best Practices
(8:10 – 8:55
A.M.)
Patrick
Nelson, Chief Suitability Officer, Allianz Life Ins. Co. of North America
Join Patrick
Nelson, Chief Suitability Officer with Allianz Life Insurance
Company as he shares the Allianz story of change and his new role of CSO.
A 360°
Approach to Corporate Crisis Communication Strategies
(9:00 – 9:40
A.M.)
Dr. Randall L.
Waller, Senior Lecturer, Hankamer School of Business, Baylor University
Before, during
and after — the three stages of a crisis.
1. What
planning and training are needed before a crisis actually occurs?
2. Next, hear
case studies on how communication strategies were applied to save a
company’s reputation during crisis.
3. Finally,
what is the strategic importance of issue management even after a crisis
ends?
The Bird’s
Eye View: A Regulatory Perspective
(9:45 – 10:30
A.M.)
Audrey Selden,
Senior Associate Commissioner, Consumer Protection, Texas Department of
Insurance
Erin Vocke,
Associate Director, FINRA Dallas District Office
Selden and
Vocke will share their respective views of emerging industry issues and
exam priorities for 2009. What issues keep our regulators awake at night?
Listen in for details!
10:30 –
10:50 A.M.
Networking Break
10:50 –
11:50 A.M.
Concurrent Sessions
GI
Multicultural Marketing: Building Financial Freedom in Diverse Communities
Laurel Daring,
Assistant Vice President, Consumer Marketing, MetLife
How do you
reach and meet the needs of America’s
growing diverse population? From concept to delivery, hear a marketing
professional’s views about the opportunities, issues and challenges in
successful multicultural marketing for consumers and companies.
CI
Your Suitability Foundation: Checking for Cracks
Roy Creedon,
Assistant Vice President, Compliance, Sun Life Assurance Co. of Canada
John Gruber, Senior Vice President, General
Counsel and Secretary, Great American Financial Resources Co. Inc.
Do you have
the appropriate infrastructure in place to provide for suitable fixed
annuity sales? Panelists Roy Creedon and Michelle Holmes will share best
practice insights about suitable fixed annuity sales both prior to and
post issue. Product design, fixed suitability application review desks,
post issue monitoring, complaint review and customer satisfaction surveys
are critical components that help contribute to a solid foundation.
CI
An Overview of the Retirement Plan Marketplace
John Kyne,
Vice President, Corporate Ethics and Compliance, MetLife
Jason Roberts,
Senior Associate, Edgerton & Weaver, LLP
What are the
compliance issues regarding the sale of retirement plans, particularly
those covered by ERISA? Hear an attorney and a compliance professional
discuss the perils and pitfalls that face representatives and firms
working in this arena. They’ll discuss:
11:50
A.M. – 1:00 P.M.
Lunch Sponsored
by State Farm |
 |
1:00 –
2:00 P.M.
Concurrent Sessions
CI
GI
Annuity Litigation: Trends, Lessons Learned and Outlook
Christine
Frederick, Vice President & Chief Compliance Officer, Insurance
Products Compliance, Lincoln Financial Group
Daniel McNeel
Lane, Attorney at Law, Akin
Gump Strauss Hauer & Feld
Take this
opportunity to consider your annuity compliance program from a litigation
perspective. Learn about recent trends in annuity litigation and the
lessons learned from these cases. The speakers will also gaze into the
crystal ball to see what’s to come and discuss opportunities to shield
your company from litigation.
GI
The New “Old” — Selling Insurance and Investments to Seniors
Tom Horack, Chief Compliance
Officer, John Hancock Financial Network
Larry Kosciulek, Director,
FINRA Investment Companies Regulation
Hear FINRA’s perspective on
selling to senior citizens, an issue of increasing regulatory focus. Also
hear how one major insurance company has tackled this issue and how it
impacted both its producers and home office.
BD
CI
Top Five Metrics for Monitoring Compliance
Richard Brennan, FCRU
Compliance Manager, MetLife Independent Distribution Group
Debbi Corej, Vice President,
Compliance, Prudential Financial
Maryann Glotzer, Compliance
Relations Manager, LIMRA
METRICS? We thought the metric
system had gone away! Do you feel buried in a pile of reports? Not sure
what to monitor? Learn the five key metrics companies use most effectively
for supervision and monitoring. Hear how companies are using these
metrics, participate in a moderated discussion, and receive industry
benchmark information from a survey conducted on compliance metrics.
2:05 – 3:05 P.M.
Concurrent Sessions
GI
Anti-Money Laundering — A SAR Is Born
F. Kim Buggs, Program Analyst, SB/SE BSA
Compliance Policy, Internal Revenue Service (IRS)
Diane B. Horn, FLMI, Director
& AML Compliance Officer, Northwestern Mutual Investment Services
Kevin F. McCarthy, Chief, BSA Policy and
Operations, Internal Revenue Service (IRS)
AML continues as one of the
top hot topics with regulators. In this session you’ll learn about
recent AML insurance and securities trends and challenges. Panelists will
discuss assessing risk, monitoring, training and understanding suspicious
activity reporting. There will be time for you to discuss with your peers
best practices and practical solutions to help you understand and shape a
successful AML program.
CI
You Can’t Keep the Quail
V. Aileen Farrales, Assistant
Vice President Compliance, LPL Financial
Seminars, customer
appreciation dinners, hunting and fishing junkets, we have seen it all.
Learn how insurance companies and broker dealers are handling the issue of
gifts and entertainment from both a FINRA and DOI regulatory perspective.
Session takeaways will include how to respond to the next request for an “over
the top” marketing gimmick. You will learn why you can’t keep the
quail!
BD
CI Top Five Metrics for Monitoring Compliance (repeat)
See Thursday, 1:00 – 2:00 P.M. for description.
3:05 – 3:35 P.M.
Networking Break
3:35 – 4:35 P.M.
Concurrent Sessions
GI
Privacy, Security and Identity Theft
Lori Geadelmann, Vice
President and Assistant General Counsel, FBL Financial Group, Inc.
While privacy and security
regulations have been around for several
years, breaches and other instances still occur. Come hear some of the
latest news, get tips for your privacy and security program, and maybe
even have a little fun during this session.
CI
Field Supervision: Essential Elements of an Effective Program
Debbi Corej, Vice President,
Compliance, Prudential Financial
Nancy Creedon, Principal,
Regulatory & Capital Markets Consulting, Deloitte & Touche
Larry Riddell, Director of
Compliance, John Hancock Life Ins. Co.
How have you structured your
field supervision? Centralized, decentralized, or a combination? Hear how
different companies have attained effective supervision and how they
supervise, monitor and conduct oversight to ensure the effectiveness of
their programs.
CI
You Can’t Keep the Quail (repeat)
See Thursday, 2:05 – 3:05 P.M. for description.
5:30 – 6:30 P.M.
Reception
Friday,
November 7, 2008
7:30 – 8:30 A.M.
Breakfast Buffet
8:30 – 11:30 A.M.
General Sessions
A Strategic Perspective
(8:30 – 9:30 A.M.)
Steven T. Cates, President and
CEO, Texas Life Ins. Co.
Cates will share his view of
the role compliance plays in Texas Life’s business model and of
compliance as a strategic rather than a tactical element of a successful
operation. Nothing is more disruptive to leadership’s ability to move a
company forward than wrestling with past failures to comply with the
intent and spirit of regulations. At Texas Life, respect for compliance is
embedded in all aspects of the company operations, and Cates will
demonstrate some technology tools the company utilizes to effectively
sustain its compliance effort.
Looking to the Future and
Changing Regulatory Responsibilities — What It Means for Insurers
(9:30 – 10:10 A.M.)
Jean Pierre Bernier, Senior
Vice President, Compliance – Risk
Management & General Counsel, CLHIA (Canadian Life and Health
Insurance Association)
Risk-based compliance is the
next generation of compliance management. More flexible operations can be
expected from implementing regulation that is principles-based,
reliance-based and evidence-based. The U.S. insurance markets must adapt
to international trends in regulation as well as changing marketplace
circumstances and practices. Dealing with uncertainty will be a challenge
for senior management and board directors. Greater emphasis will be placed
on managing market conduct risks, as opposed to complying with prescribed
market conduct rules.
10:10 – 10:30 A.M.
Networking Break
Nobody Else Does This
(10:30 – 11:30 A.M.)
Barb Fitch, 2nd Vice
President, Market Conduct & Compliance, National Life Ins. Co.
Carla Rector, ACS, Compliance
Officer, Corporate Compliance, Phoenix Life Ins. Co.
Stephen Selby, Director of
Regulatory Services, LIMRA
The third time’s the charm:
audience voting with instant results! Get a quick read on those thorny
compliance issues your marketing VP hates. How often have you heard that
the procedures are going to cost business because NOBODY ELSE DOES THIS?
Use this session as a sounding board. Compare your understanding of new
regulations with that of your peers. Share ideas on how to implement
processes to ensure compliance. The voting audience consists of you and
your fellow compliance peers giving frank answers anonymously. This
session is networking at its best!
11:30 A.M.
Conference Adjourns
Registration Information
Register by October 3, 2008:
LIMRA and LOMA members: $825
Nonmembers: $1,295
Guest/Spouse fee: $225
Register after October 3, 2008:
LIMRA and LOMA members: $950
Nonmembers: $1,395
Guest/Spouse fee: $225
Spouse/Guest Fee: A fee of $225 is available to
spouses and guests of registered attendees. Individuals in an
industry-related position, co-workers, or associates do not qualify. We
invite spouses/guests to participate in the event's food and social
functions and ask that they wear their badge to these events.
Participation in the general sessions and workshops is limited to those
who have paid the full registration fee to attend the conference.
Refund Policy:
All cancellations and refund requests must be received in writing.
These requests carry a $75.00 U.S. administrative charge. Full refunds
minus the administrative fee will be granted on written requests received
no later than three business days before the meeting start date. No
refunds will be granted if the request is received within three business
days of the meeting. If for any reason a meeting is cancelled, LOMA will
refund the total registration fee. However, LOMA will not be responsible
for any travel, hotel accommodations or other costs incurred.
Attire
The dress code for this conference is business casual.
Car
Rental
Avis is the official car rental agency for LOMA. Reserve a car by
calling Avis at 1-800-331-1600, or click here. Refer to meeting
discount number T085399. You may also want to consider a taxi or
shuttle from the airport to the hotel.
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