When:
July 10th-11th, 2025

Where:
Louisville Marriott Downtown
280 West Jefferson Street
Louisville, KY 40202

Compliance School

Insurance in Action: Market Conduct Explored.

Join the AICP in Louisville, Kentucky, July 10th and 11th for Insurance in Action: Market Conduct Explored and gain hands-on experience and knowledge about the Market Conduct Examination process from the Company and Regulator experience.

This course will be an interactive deep dive into the Market Conduct process with attendees participating in a Mock Market Conduct Exercise. By the end of the Exercise, you will have valuable experience and insight into the Exam process.

On behalf of the AICP Board of Directors,

Dave Milligan
Learning and Education Director

Registration is now open!

Reserve Your Room Now!

*If you are new to AICP, you will first need to create a record. Once logged in, you’ll have full access to the registration features without any interruption.

Registration Classification Price
Industry Member $495
Industry Non-Member $795
Regulator Member $225
Regulator Non-Member $225
Student Member $100
Student Non-Member $125
Registration Classification Price
AICP Member Complaint Handling School Registration Only $495
AICP Member Complaint Handling School Registration & Annual Conference Registration $1275
Non-Member Complaint Handling School Registration Only $795
Non-Member Complaint Handling School Registration & Annual Conference Registration (Includes 2025 Membership) $1950
AICP Member Regulator Complaint Handling School Registration Only $225
AICP Member Regulator Complaint Handling School Registration & Annual Conference Registration $450
Non-Member Regulator Complaint Handling School Registration Only $225
Non-Member Regulator Complaint Handling School & Annual Conference Registration $450
AICP Member Student Regulator Complaint Handling School Registration Only $100
AICP Member Student Regulator Complaint Handling School Registration & Annual Conference Registration $200
Non-Member Student Complaint Handling School Registration Only $125
Non-Member Student Complaint Handling School Registration & Annual Conference Registration $250

Tentative Agenda – Subject to Change

1. Pre-examination

How does an examination come about and what happens before the examination officially starts? This section will focus on how regulators determine the Companies that will be receiving a Market Conduct Exam, and how Companies prepare:

1) Developing a plan of Action

2) Choosing a Market Conduct Exam Coordinator

  1. What is the coordinators function?

3) Establishing Rapport with the Examiners

  1. Employee vs. Contract Examiners
  2. Initial meeting with Examiners
  3. Set expectations

2. Active Examination

What should Companies and Regulators expect throughout the examination process? What do Regulators review, and how do Companies respond? This section will focus on various aspects of the examinations from Operations and Management, Marketing and Sales, Policyholder Services, Complaints and Claims from the Company and Regulator’s perspective.

1) Collection and Preparation of Data Collection

2) Responding to Data Requests

  1. Delegation is necessary
  2. Coordination with IT
  3. Prepare business partners

4) Interpretation and “massaging” data

  1. Differences between what is asked for and how it is maintained

5) Negotiate with examiners on what will satisfy the request?

6) Preparing Staff for Interviews

  1. Know the scope and stick to it
  2. Prepare potential questions
  3. Answer the question, and nothing more

7) Criticisms, Disputes and Findings

  1. Prepare Response
  2. Identify if issue is a violation of law/reg or not
  3. You can disagree – just be ready to explain
  4. Negotiation of language of “findings”
  5. Defense or Agree

8) Issuance of Final Report and Findings

  1. Review in timely manner
  2. If necessary, request additional time or clarification
  3. Prepare and Send Formal Response

3. Post Examination

The Examination is finalized. What next? This section will focus on closing the examination, ongoing communications and expectations, and how reports, management letters and corrective actions should be handled.

1) Prepare Management Report

  1. Outline Findings
  2. Prepare Remediation Recommendations
  3. Assign tasks and responsibilities
    1. Determine timeline
    2. Follow-up to ensure action taken

2) Is there further communication to the state?

  1. Any reporting that must be completed?
  2. What format and who is responsible?
Tentative Agenda, Subject to Change

Thursday, April 3rd

12:00 pm – 5:00 pm

Registration

12:55 pm – 1:00 pm

Welcome

1:00 pm – 1:45 pm

Definitions and Terminology

1:45 pm – 2:45 pm

Product Development

2:45 pm – 3:00 pm

Refreshment Break

3:00 pm – 5:00 pm

Life Cycle of a Filing

5:00 pm – 6:00 pm

Opening Reception

Friday, April 4th

8:30 am – 9:00 am

Breakfast

9:00 am – 10:00 am

SERFF Modernization

10:00 am – 11:00 am

DOI Engagement Panel

11:00 am – 11:15 pm

Refreshment Break

11:15 am – 12:00 pm

COMPACT Filings

12:00 pm

Meeting Adjourns


Thanks our Key Industry Partners!

Visionary Partners

Filing Ramp

Martin & Company

Perr&Knight

Ambassador Partners

Verisk

Supporting Partners

AAIS

AM Best

First Consulting and Administration

Milliman

RIA