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Compliance for Insurance Carriers, MGAs & Agencies
Life and annuity agency compliance: RegReview for operations and marketing review, or Para Insure for focused marketing pre-checks. Optional FIN Group support is scoped separately.
Where Insurance compliance breaks down
Producer licensing sprawl
Resident/non-resident licenses, appointments, and CE deadlines across 50 states.
Market conduct exam prep
Assembling 3–7 years of policy files, complaints logs, and rate/form filings under short deadlines.
Rate & form filings (SERFF)
Missed refile deadlines when states change requirements or expire filings.
Complaint handling & DOI response
No central log for DOI inquiries, response SLAs, or root-cause tracking.
How FIN Group helps
Compliance Consulting
NAIC filings, state DOI support, complaint workflow.
Insurance Operations Support for RIAs
Scoped records, calendars and review coordination for advisory firms with licensed producers or an insurance affiliate; delivery fit confirmed before engagement.
Market Conduct Exam Prep
Mock exams, document assembly, response support.
RegReview — Agency Workspace
Agency operations plus included marketing review: licensing, appointments, CE, calendars, and compliance records.
Para Insure — Focused Reviews
Risk-rated life and annuity marketing pre-checks for teams that do not need the broader agency workspace. An alternative, not a required second subscription.
Fractional CCO / Compliance Manager
Named coverage for carriers, MGAs, and agencies.
FAQ
Which tool should a life or annuity agency use?
Start with RegReview when you need agency operations and marketing review together. Choose Para Insure when focused, risk-rated marketing pre-checks are the main need. Both subscriptions are not required. Firm and carrier approvals remain your responsibility; optional FIN Group setup and human review are separately scoped.
Do you serve MGAs and independent agencies?
Yes — we work with carriers, MGAs/MGUs, wholesalers, and independent agencies across P&C, life, and health lines.
Can you help prepare for a market conduct exam?
We run mock market conduct exams, assemble the standard NAIC exam data call, and manage the response workflow with state DOIs.
How do you track producer licensing across states?
RegReview's Insurance version pulls resident/non-resident licenses, appointments, CE deadlines, and premium tax filings into one calendar; we execute the DFY workflow if you don't have staff for it.
Talk to a Insurance specialist
Fractional CCO, filings, and technology — sized to your firm.