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Compliance for Insurance Carriers, MGAs & Agencies
NAIC filings, market conduct exam prep, and producer licensing for insurers, MGAs, and licensed agencies.
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.
Market Conduct Exam Prep
Mock exams, document assembly, response support.
RegReview — Insurance version
Producer licensing, appointments, CE, SERFF calendar.
Fractional CCO / Compliance Manager
Named coverage for carriers, MGAs, and agencies.
FAQ
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.