1. finance
2. personal finance
3. insurance

What’s in the
grocery bag?
In addition to this handy
program guide, we’ve
included notepads, pens,
ear buds, luggage tag
and water bottle.
2
Table of Contents
Daily Agendas. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Special Events. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
For Your Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Pre-Conference Sessions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Commissioner Keynote Panel. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Conference Session Descriptions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Post-Conference Session Descriptions. . . . . . . . . . . . . . . . . . . . . . . . . . 39
Keynote Speaker Biographies. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
Exhibitors. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
Exhibit Hall Floor Map. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
Westin Crown Center Floor Map. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
Downtown Kansas City Area Map. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
2016 E-Reg Conference Dates. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
Online Survey
Following the conference, you will receive an email inviting you to give us
your thoughts via a brief online survey. You are encouraged to participate so
that we can make sure this conference best meet your needs in the future!
3
8:00 am
8:00 - 11:00
9:00 am
10:00 am
11:00 am
Penn Valley
Shawnee
Mission
NAIC Offices Washington Washington
Emerald Park Place 3 Park Place 1&2 Brookside
Noon
E-Reg Exhibits
11:30 - 1:30
Welcome Lunch and Commissioner
8:30 - 9:30
R*
I-SITE New Functionality
10:00 - 11:00
R*
New Members to the NAIC
Roanoke
Pershing Place Pershing Place
North & South East & West Century C
Century AB
Monday, April 27
Audience:
R*=Regulator Only
R=Regulator
I=Industry
Company Licensing Track
Market Regulation Track
Producer Licensing Track
Rate & Form Filing Track
Technology Track (TechEx)
Alternative Track
1:00 pm
2:00 pm
3:00 pm
4:00 pm
4:00 - 5:30
5:00 pm
Welcome Reception
Keynote
1:40 - 2:30
R/I
Producer Licensing
Expedition
2:40 - 3:30
R/I
NIPR Initiatives
1:40 - 3:30
R*
Electronic Application Processes
1:40 - 3:30
I
Introduction to E-Reg
1:40 - 2:30
R/I
D Committee Key
Initiatives/2015 Priorities
2:40 - 3:30
R/I
Market Regulation
Accreditation Initiative
2:40 - 3:30
R/I
SBS Overview
1:40 - 2:30
R/I
Welcome to Rate and
Form Filing
2:40 - 3:30
R*
State Roundtables
2:40 - 3:30
I
Industry Roundtables
1:45 - 2:55
R*
Welcome & Opening Remarks
Intriguing!
Thought Provoking! Thrilling!
3:00 - 3:50
R*
Is Technology an
Asset or a Liability
8:00 am
7:00 - 8:30
9:00 am
9:20-9:40
10:00 am
11:00 am
Morning
Break
Breakfast
8:30 - 9:20
R/I
Producer Licensing
Update
8:30 - 9:20
R/I
Washington Update
8:30 - 9:20
R/I
Introduction to
Company Licensing
Shawnee
Mission
Liberty
Washington Washington Washington
Park Place Park Place 3 Park Place 1&2
NAIC Offices
Brookside
Emerald
8:30 - 9:20
R/I
Health Data Call
8:30 - 9:20
9:40 - 10:30
R/I
Regulator Panel
Discussion (Midwest
& Northeast Zones)
10:40 - 11:30
9:40 - 10:30
10:40 - 11:30
R/I
Navigating an
IIPRC Filing
9:40 - 10:30
R/I
Regulator Panel
Discussion (Southeast
& West Zones)
R/I
IIPRC Update
R/I
Assembling the
Application
10:40 - 11:30
R/I
Navigating the State
Requirements
9:40 - 11:30
R/I
MCAS General Update Including LTC
R/I
P/C Hot Topics
8:30 - 9:20
R/I 9:20-9:40 9:40 - 10:30
Health Hot Topics
8:30 - 9:20
R/I
R/I
Plan MGMT
State/Industry Demo
Morning
Break 9:40 - 10:30
R/I
P/C - Ride Sharing
Life Hot Topics
10:40 - 11:30
R/I
SERFF Filing Access
9:40 - 10:30
R/I
Is Technology an
Asset or a Liability
8:30 - 9:20
R*
Technical Orienteering
in State Producer
Licensing
11:30 - 1:00
Noon
Lunch & E-Reg Exhibits
Roanoke
Pershing
Pershing Pershing Place
Penn Valley Place West Place East North & South Century C
Century AB
Tuesday, April 28
9:45 - 10:35
10:40 - 11:30
R/I
Health Care Update
R*
User Analytics,
Tools and Tactics
10:40 - 11:30
R*
Navigating Changes in
TeamMate Software
1:00 pm
1:00 - 2:50
2:00 pm
3:00 pm
2:50-3:10 3:10 - 4:30
Afternoon
Break
E-Reg Exhibits
1:00 - 1:50
R/I
Game Show
2:00 - 2:50
4:00 pm
R/I
5:00 pm
Meet the NIPR Staff
NIPR Demos
R/I
Game Show
2:00 - 2:50
3:10 - 4:00
R/I
Adjuster Activities
Discussion
NAIC/NIPR
NARAB Update
2:00 - 2:50
R/I
R/I
Washington Update
1:00 - 1:50
I
Introduction to the
Electronic Application
1:00 - 1:50
R*
Biographical Affidavit
2:00 - 2:50
3:10 - 4:00
I
Understanding the
Licensing Review
Process
2:00 - 2:50
Corporate Amendments
3:10 - 4:00
R*
Reviewing the
Questionnaire
2:00 - 2:50
R*
Reviewing the ProForma
Financial Statements
3:10 - 4:00
R/I
Consumer/Industry
Perspective on the
Impact of the ACA
1:00 - 1:50
I
R/I
Market Information
Systems (MIS) Updates
4:10 - 5:00
I
Licensing Other
Business Types
4:10 - 5:00
R*
Accreditation
Process/Form A
Database
4:10 - 5:00
R*
Market Actions
Tracking System and
User Interface Demo
R/I
Federal Initiatives
2:50-3:10
Afternoon
Break
3:10 - 4:00
R/I
SERFF Enhancements
3:10 - 4:00
R/I
OPTins Tutorial
1:00 - 1:50
R*
Explore the Possibilities
for Managing Cyber
Risks
2:15 - 3:05
R*
Ensuring a Capable
NextGen Workforce –
Solutions from a
Government Insider
3:15 - 4:05
R*
Guided Tours & News
4:10 - 5:00
R/I
Search and Export
8:00 am
7:00 - 8:30
9:00 am
9:20-9:40
10:00 am
8:30 - 9:20
Industry Perspective on
Licensing Practices
11:30 - 1:00
Noon
Lunch
9:40 - 10:30
R/I
R/I
Uniform Education
10:40 - 11:30
I
Tips & Tricks for Using
NIPR Data
10:40 - 11:30
R/I
CIPR Overview
9:40 - 10:30
Shawnee
Mission
Washington
Park Place
Liberty
NAIC Offices NAIC Offices
Emerald
Marquise Presidents
11:00 am
Morning
Break
Breakfast
Penn Valley
Pershing Place Pershing Place
West
North & South Century AB
Wednesday, April 29
R/I
Regulator/Industry
Hot Topics
8:30 - 9:20
R/I 9:20-9:40 9:40 - 10:30
Help Desk FAQs
Morning
Break
R/I
Suitability Discussion
R/I
Flipside –
Rate and Forms
10:40 - 11:30
10:40 - 11:30
R/I
Flipside –
Rate and Forms
8:30 - 9:20
R/I
Special Session
Cybersecurity
9:30 - 11:30
R/I
Regulator and Industry Roundtable Discussion
8:30 - 9:20
R*
SBS 2016 Overview
9:25 - 10:15
R*
BYOD – It’s Coming!
Wait, it’s already here!
You can’t stop it, but you
can control it.
10:25 - 11:30
R*
Technology Churn – The Good,
the Bad & the Ugly
Closing Comments
12:00 - 1:30
National Treatment and
Coordination (E) Working
Group Conference Call
1:00 pm
2:00 pm
3:00 pm
4:00 pm
1:00 - 5:00
R*
Producer Licensing Regulator-Only Summit
1:00 - 4:00
R*
Creating SERFF Filings
R/I
5:00 pm
Special Events
Monday, April 27
Commissioner Keynote and Welcome Lunch
Open to all attendees!
11:30 a.m. – 1:30 p.m. - Century C
Join us for a sit-down lunch and Commissioner Keynote.
Welcome Reception with Exhibitors
“X” marks the spot where the fun be found, so chart ye course to the
Welcome Reception for a treasure hunt and a chance to win plenty of
pirate booty! The adventure begins Monday, April 27, from 4:00 p.m. to
5:30 p.m. in the Exhibit Hall (Century A/B). Heave ho, me Hearties! Ye are
in for a swashbucklin’ good time!
Tuesday, April 28
New Theatre
Restaurant
Back again by popular
demand is the option for
regulators to attend the
New Theatre Restaurant
for an evening that
includes great music from
the ’50s in “Forever Plaid.” The night includes a fabulous dinner and lots
of laughs.
Regulators signed up to attend the dinner theater are to meet in the
Westin lobby by 5:15 p.m. The shuttle will leave at 5:30 p.m. for dinner
reservations at 6:30 p.m. The show will start at 7:20 p.m.
The shuttle will return to the Westin immediately following the conclusion
of the show.
10
Special Events
Dave & Buster’s in the Legends
at Village West
Join us for dinner, drinks, $14 Power Card
and a chance to mingle with regulators,
peers and NAIC/NIPR staff. Pre-registration
and pre-payment were required for this
event for industry and exhibitor conference
attendees.
All conference attendees who are registered for the Dave & Buster’s
event should meet in the Westin lobby by 5:15 p.m. The shuttle will leave
at 5:30 p.m. for the event.
Shuttle to Hollywood Casino and Legends at Village West*
There will be a continuous shuttle between the Westin, Hollywood Casino
and the Legends at Village West throughout the evening beginning at
7:00 p.m.
The last shuttle will depart from Dave & Buster’s and the Legends at
Village West at 9:45 p.m, and from Hollywood Casino at 10:00 p.m. It will
arrive at the Westin at 10:30 p.m.
*The shuttle service is being provided as a courtesy and is not an NAICsponsored activity. NAIC/NIPR staff will not be on-site at this location.
11
For Your Information
Regulator-Only Computer Lounge
A limited number of computers will be available in the regulator-only
computer lounge in the Presidents room at the Westin. Please be
prepared to show your E-Reg Conference badge to security for access to
the room, which will be open:
Monday.........10:30 a.m. – 10:00 p.m.
Tuesday........6:00 a.m. – 10:00 p.m.
Wednesday...6:00 a.m. – 12:00 p.m.
On-site Registration Open in the Westin
Sunday........... 1:00 p.m. – 5:00 p.m.
Monday.......... 7:30 a.m. – 5:00 p.m.
Tuesday......... 7:30 a.m. – 5:00 p.m.
Wednesday.... 7:30 a.m. – 12:00 p.m.
Continuous Shuttles Between the Westin and the NAIC
Monday.........10:00 a.m. – 2:00 p.m. (Last shuttle leaves the Westin at 1:40 p.m.)
3:45 p.m. – 4:30 p.m. (Last shuttle leaves the NAIC at 4:10 p.m.)
Tuesday........8:00 a.m. – 8:30 a.m. (Last shuttle leaves the Westin at 8:10 a.m.)
4:30 p.m. – 5:30 p.m. (Last shuttle leaves the NAIC at 5:10 p.m.)
Wednesday...8:00 a.m. – 10:00 a.m. (Last shuttle leaves the Westin at 9:40 a.m.)
11:15 a.m. – 1:45 p.m. (Last shuttle leaves the NAIC at 1:25 p.m.)
12
For Your Information
Continuing Education Credits
The NAIC does not provide continuing education (CE) credits, but we
can facilitate the process by providing a certificate confirming your
attendance at the conference. The E-Reg Conference has been prequalified for Designation Renewal Credits (DRCs). If you currently hold
an NAIC APIR, PIR, SPIR or IPIR designation and are pursuing CE credit
to maintain it, you may be awarded credits for your participation in this
program. To receive your certificate, you must meet the attendance and
participation requirements that follow below.
To monitor attendance and issue credit appropriately, passwords will be
given out at each eligible track/session. You will need to keep track of the
passwords given out during the presentations and then submit them on
a post-conference evaluation. Credit will only be given for those sessions
with the correct passwords. The link to the post-conference evaluation
will be sent via email to those who are registered for the conference.
To determine which sessions are eligible for DRC credit,
please look for the DRC logo.
13
Pre-Conference Sessions
Sunday, April 26
PC-001 │ Producer Licensing (EX) Working Group (R/I)
2:00 p.m. – 5:00 p.m.
This is an open meeting of the Working Group for regulators and
interested parties. Agenda and materials will be available on the NAIC
Producer Licensing (EX) Working Group Web page and at the meeting.
Presenter: Brian Gaudiose (VA)
Monday, April 27
PC-010 │ I-SITE New Functionality (R*)
8:30 a.m. – 9:30 a.m.
I-SITE monthly updates include new enhancements and improved
functionality. You will not want to miss a demo of the highlights to the
financial and market tools that have been implemented since the 2014
E-Reg Conference.
Presenter: Frances Stuart (NAIC)
PC-020 │New Members to the NAIC (R*)
10:00 a.m. – 11:00 a.m.
New to NAIC? Learn about the history of the NAIC and the services that
are available to members. This is an overview of the member role and
the NAIC role in the regulatory process.
Presenter: Trish Schoettger (NAIC)
Audience:
R*=Regulator Only R=Regulator I=Industry
=Designation Renewal Credit Session
14
Commissioner Keynote Panel
Monday, April 27, 2015
Century C
11:30 a.m. – 1:30 p.m.
The 2015 E-Reg Conference will kick off with a sit-down lunch and keynote
panel featuring several state insurance commissioners. The panelists will
share their unique perspectives on several issues impacting the insurance
industry, including cybersecurity, health care reform, producer licensing, ride
sharing, principle-based reserving, market regulation, interstate collaboration
and international insurance issues. The keynote panel will feature:
Senator E. Benjamin Nelson
NAIC Chief Executive Officer
Monica J. Lindeen
NAIC President
Montana Commissioner of
Securities and Insurance
Sharon P. Clark
NAIC Vice President
Kentucky Insurance Commissioner
Stephen W. Robertson
Indiana Department of Insurance
Commissioner
John M. Huff
NAIC President-Elect
Missouri Insurance Director
Special Session
Wednesday, April 29
Cybersecurity (R/I)
8:30 a.m. – 9:20 a.m.
Cybercrime is more and more prolific. This session will include a review
of the clever methods cyber criminals use to bypass security technologies
like firewalls, antivirus, intrusion prevention systems, web filters, etc. Actual
data reflecting where cybercrime is originating and emanating will be
presented to provide insight on how to protect your organization.
Presenter: Commissioner Adam Hamm (ND)
15
Conference Sessions
Company Licensing Track
Monday, April 27
CL-100 │Electronic Application Processes (R*)
1:40 p.m. – 3:30 p.m.
Walk through the electronic application from step one, receiving the email
notification all the way through to the application process/approval status.
Run summary reports to track the application progress and update
statuses to minimize the number of applications in the drop-down view.
Presenter: Jane Barr (NAIC)
CL-105 │Introduction to E-Reg (I)
1:40 p.m. – 3:30 p.m.
Explore the possibilities of knowledge gained from the company licensing
track and other seasoned attendees. This is an informal roundtable for
industry and NAIC staff.
Facilitators: Crystal Brown (NAIC) and
Jan Shemanske (W.R. Berkley Company)
Tuesday, April 28
CL-200 │ Introduction to Company Licensing (R/I)
8:30 a.m. – 9:20 a.m.
Welcome to company licensing! Understanding the application
processes, when to file, what to file and where to file. Understand the
differences of the application types, where to find information and the
best way to contact the states.
Presenters: Jane Barr (NAIC) and Crystal Brown (NAIC)
16
Conference Sessions
CL-210 │ Assembling the Application (R/I)
9:40 a.m. – 10:30 a.m.
Understand how to thoroughly complete the Plan of Operation/
Questionnaire.
Presenter: Mike Boutwell (LA)
CL-220 │ Navigating the State Requirements (R/I)
10:40 a.m. – 11:30 a.m.
Understand how to navigate the lines of insurance, understanding the
seasoning requirements, minimum capital and surplus requirements,
statutory deposits, name change challenges and other state-specific
issues.
Presenter: Jill Jacobi (CA)
CL-230 │ Biographical Affidavit (R*)
1:00 p.m. – 1:50 p.m.
Discuss changes to the biographical affidavit, best practices and the
background investigation reports. Also learn what to look for and
what should be provided by the vendors in this open discussion with
background reporting vendors and regulators.
Presenters: Gayle Pasero (WA) and Eric Showgren (UT)
CL-235 │ Introduction to the Electronic Application (I)
1:00 p.m. – 1:50 p.m.
Are you new to filing the electronic application or need a refresher on
recent updates to the electronic application? Need to know when to
amend an application and when to utilize the Uniform Certificate of
Authority Application (UCAA) email to provide state-specific requests?
What happens when an application is in amended status?
Presenter: Jane Barr (NAIC)
17
Conference Sessions
CL-240 │ Reviewing the Questionnaire (R*)
2:00 p.m. – 2:50 p.m.
Review the applicant company responses, when to reach out to the
company to provide more information or what responses are not
acceptable (red flags).
Presenter: Mike Boutwell (LA)
CL- 245 │ Understanding the Licensing Review Process (I)
2:00 p.m. – 2:50 p.m.
Here is an inside look to the review process. Learn what the regulators
are looking for when they first receive notification/application, timeliness
in responding to inquiries and how much time you should allow before
contacting the state for a status update.
Presenters: Gayle Pasero (WA) and Eric Showgren (UT)
CL-250 │ Reviewing the ProForma Financial Statements (R*)
3:10 p.m. – 4:00 p.m.
What should you look for when reviewing the proforma? Identify red flags
and when to question the company’s projections.
Presenter: Eric Showgren (UT)
CL-255 │ Corporate Amendments (I)
3:10 p.m. – 4:00 p.m.
Here is everything you need to know before you file a corporate
amendment application.
Presenter: Loretta Trujillo (NM)
CL- 260 │ Accreditation Process/Form A Database (R*)
4:10 p.m. – 5:00 p.m.
Learn more about the accreditation process and get details on upcoming
changes to the Form A database.
Presenters: Julie L. Garber (NAIC) and Jill Jacobi (CA)
18
Conference Sessions
CL-265 │ Licensing Other Business Types (I)
4:10 p.m. – 5:00 p.m.
Learn about licensing, registration and authorization of other business
types, risk retention groups, surplus lines, health care exchanges and
HMOs.
Presenters: Loretta Trujillo (NM) and Bob Schump (NAIC)
Wednesday, April 29
CL-300 │ Regulator and Industry Roundtable Discussion (R/I)
9:30 a.m. – 11:30 a.m.
CL-310 │ National Treatment and Coordination (E) Working
Group Conference Call (R/I)
12:00 p.m. – 1:30 p.m.
Market Regulation Track
Monday, April 27
MR-100 │D Committee Key Initiatives/2015 Priorities (R/I)
1:40 p.m. – 2:30 p.m.
This session will provide an overview of the Market Regulation and
Consumer Affairs (D) Committee charges, key initiatives and working
group assignments for 2015.
Presenter: Commissioner Stephen W. Robertson (IN)
and Timothy B. Mullen (NAIC)
19
Conference Sessions
MR-110 │Market Regulation Accreditation Initiative (R/I)
2:40 p.m. – 3:30 p.m.
This session will discuss the objectives and goals needed for a
successful market regulation accreditation program and the latest
activities of the Market Regulation Accreditation (D) Working Group.
Presenter: Director Bruce R. Ramge (NE)
Tuesday, April 28
MR-200 │Health Data Call (R/I)
8:30 a.m. – 9:20 a.m.
This session will provide an overview of the Health Reform Survey
and Data Call recently adopted by the Market Analysis Procedures (D)
Working Group.
Presenters: Andrea J. Routh (Missouri Health Advocacy
Alliance) and Martin L. Mitchell Jr. (America’s Health
Insurance Plans)
MR-210 │MCAS General Update Including LTC (R/I)
9:40 a.m. – 11:30 a.m.
This session will provide a first peek at the 2014 aggregate results of
Market Conduct Annual Statement (MCAS) reporting.
Presenter: Randy Helder (NAIC)
MR-220 │Federal Initiatives – Joint Session with Producer
Licensing (R/I)
1:00 p.m. – 1:50 p.m.
This session will provide an overview of federal initiatives affecting
state insurance regulators. Initiatives to be covered include the National
Association of Registered Agents and Brokers (NARAB II) and the
federal Terrorism Risk Insurance Act (TRIA).
Presenter: Tony Cotto (NAIC) and Greg Welker (NAIC)
20
Conference Sessions
MR-230 │Consumer/Industry Perspective on the Impact of
the ACA (R/I)
2:00 p.m. – 2:50 p.m.
This session will be an open forum with speakers from consumers and
industry sharing their perspectives on the impact of the federal Affordable
Care Act (ACA).
Presenters: Andrea J. Routh (Missouri Health Advocacy
Alliance) and Martin L. Mitchell Jr. (America’s Health
Insurance Plans)
MR-240 │Market Information Systems (MIS) Updates (R/I)
3:10 p.m. – 4:00 p.m.
This session will provide an overview of recent and planned Market
Information System enhancements.
Presenter: Ginny Ewing (NAIC)
MR-250 │Market Actions Tracking System and User
Interface Demo (R*)
4:10 p.m. – 5:00 p.m.
Get a sneak peek at upcoming NAIC system releases. This will include
the new Market Action Tracking System (MATS), which integrates
functionality of the Examination Tracking System (ETS) and Market
Initiative Tracking System (MITS). In addition, the new look and feel for
the next generation of I-SITE (I-SITE+) will be shared.
Presenter: Ginny Ewing (NAIC)
21
Conference Sessions
Wednesday, April 29
MR-300 │Regulator/Industry Hot Topics (R/I)
9:40 a.m. – 10:30 a.m.
This session will provide insights from a mixed panel of regulators and
industry regarding trends and issues that are demanding their time and
what is being done to address them.
Presenters: Sheri Marston (NAIC), Lisa Brown
(American Insurance Association), Beth Lovaas (TX)
and Angela Nelson (MO)
MR-310 │Suitability Discussion (R/I)
10:40 a.m. – 11:30 a.m.
This session will provide a panel discussion on current suitability issues
and how the states and companies are working to ensure suitability
compliance in the marketplace.
Presenters: Timothy B. Mullen (NAIC), Randy Helder (NAIC),
Doug Ommen (IA) and Kelly Ireland (CEFLI)
Producer Licensing Track
Monday, April 27
PL-100 │Producer Licensing Expedition (R/I)
1:40 p.m. – 2:30 p.m.
Attend the start of the producer licensing journey to discover the policies
and relationship between the NAIC and NIPR, along with the latest
updates from the NIPR.
Presenters: Karen Stakem Hornig (NIPR) and
Commissioner Todd E. Kiser (UT)
22
Conference Sessions
PL-110 │NIPR Initiatives (R/I)
2:40 p.m. – 3:30 p.m.
The NIPR currently provides several products and services to assist in
your electronic producer licensing navigation. Attend this session to hear
about some of the enhancements and new initiatives being created to
move toward the NIPR’s vision of being the one-stop shop for all aspects
of electronic producer licensing.
Presenters: NIPR Staff
Tuesday, April 28
PL-200 │Producer Licensing Update (R/I)
8:30 a.m. – 9:20 a.m.
This session will provide an overview of the 2014 activities of the
Producer Licensing (EX) Task Force, the Producer Licensing (EX)
Working Group and its subgroups. This session also will provide a look
at the groups’ 2015 charges.
Presenter: Brian Gaudiose (VA)
PL-210 │Regulator Panel Discussion (Midwest
and Northeast Zones) (R/I)
9:40 a.m. – 10:30 a.m.
Get your map and compass ready for your tour to the Midwest and
Northeast zones. Regulators will address hot topics, provide valuable
updates and answer questions submitted prior to the conference.
Facilitators: Laurie Wolf (NIPR) and Various
State Regulators
23
Conference Sessions
PL-220 │Regulator Panel Discussion (Southeast
and West Zones) (R/I)
10:40 a.m. – 11:30 a.m.
Get your map and compass ready for your tour to the Southeast and
West zones. Regulators will address hot topics, provide valuable updates
and answer questions submitted prior to the conference.
Facilitators: Laurie Wolf (NIPR) and Various
State Regulators
PL-230 │Federal Initiatives – Joint Session with
Market Regulation (R/I)
1:00 p.m. – 1:50 p.m.
This session will provide an overview of federal initiatives affecting
state insurance regulators. Initiatives to be covered include the National
Association of Registered Agents and Brokers (NARAB II) and the
federal Terrorism Risk Insurance Act (TRIA).
Presenters: Tony Cotto (NAIC) and Randy Helder (NAIC)
PL-240 │NAIC/NIPR NARAB Update (R/I)
2:00 p.m. – 2:50 p.m.
Attend this session to hear NAIC/NIPR provide an overview on the
National Association of Registered Agents and Brokers (NARAB).
Presenters: Karen Stakem Hornig (NIPR) and
John Bauer (NAIC)
PL-250 │Adjuster Activities Discussion (R/I)
3:10 p.m. – 4:00 p.m.
This session will review the activities of adjusters and how the states are
working to ensure the proper licensing and oversight of individuals before
they enter the marketplace.
Presenters: Linda Brunette (AL) and Jeff Baughman (WA)
24
Conference Sessions
PL-255 │Meet the NIPR Staff (R/I)
3:10 p.m. – 4:30 p.m.
This session is an opportunity for attendees to meet several NIPR
representatives. State Support, Customer Service, Marketing, Quality
Assurance, Billing and Technical staff will be available to discuss your
current and future processes. Direct sender support will also be available
to answer programming/CGI items. Stop by to visit with the person on the
other end of the phone!
Presenters: NIPR Staff
PL-260 │NIPR Demos (R/I)
3:10 p.m. – 4:30 p.m.
Make the most out of your producer licensing experience by getting the
practical, hands-on experience you need to get the job done right. The
NIPR staff will provide live demonstrations of products and services,
such as the Producer Database (PDB) lookup feature, reports, Contact
Change Request (CCR), online applications/renewals, the National
Producer Number (NPN) retrieval process and more. Regulators are also
welcome to learn about these valuable tools used by the industry.
Presenters: NIPR Staff
Wednesday, April 29
PL-300 │Industry Perspective on Licensing Practices (R/I)
8:30 a.m. – 9:20 a.m.
Attend this highly interactive discussion of industry best practices and
discover how companies and agencies handle certain processes, deal
with day-to-day licensing issues and other industry-related hot topics.
Facilitator: Jeff Lehman (Nationwide)
25
Conference Sessions
PL-310 │Uniform Education (R/I)
9:40 a.m. – 10:30 a.m.
The Producer Licensing (EX) Working Group was asked to continue its
work on continuing education (CE) and to coordinate with other NAIC
parent committees and working groups—and any outside associations,
vendors, etc.—to review and provide recommendations on any new
producer training requirements or CE requirements that should be
included in NAIC model acts, regulations and/or standards.
Presenters: Barb Gavitt (A.D. Banker) and
Rebecca Shigley (NC)
PL-320 │Tips and Tricks for Using NIPR Data (I)
10:40 a.m. – 11:30 a.m.
This session will demonstrate simple ways to manipulate NIPR data,
merge and compare NIPR data with company data, and solve users’
everyday problems. These are simple tips and tricks that anyone with
basic knowledge of Microsoft Excel can do.
Presenter: Kingston Koser (NIPR)
Rate and Form Filing Track
Monday, April 27
RF-100 │ Welcome to Rate and Form Filing (R/I)
1:40 p.m. – 2:30 p.m.
Calling all Rate and Form track attendees: This session will prepare you
for the remainder of the conference. Listen as your fellow attendees
provide thoughts and advice. Find out how to make the most of your time
at E-Reg. Attendees will have the opportunity to meet one another and
participate in a fun networking activity.
Presenter: Jennifer Franz (NAIC)
26
Conference Sessions
RF-110 │ Industry Roundtables (I)
2:40 p.m. – 3:30 p.m.
Industry compliance professionals: Bring your questions for your peers!
This is your opportunity to meet with your fellow filers. The tables will be
divided by business type, so you can explore topics with other attendees
who work in similar areas.
Facilitators: Alex Rogers (NAIC) and Cait Wingard (NAIC)
RF-115 │ State Roundtables (R*)
2:40 p.m. – 3:30 p.m.
Regulators: This is your opportunity to meet and network with your fellow
regulators. What’s on your mind that you’d like to ask other regulators?
Bring your questions to this informative event! The session will be divided
by business type, so you can mingle with other attendees who work in
similar areas.
Facilitators: Jennifer Miller (NAIC) and Michelle Wilson (NAIC)
Tuesday, April 28
RF-200 │ Life Hot Topics (R/I)
8:30 a.m. – 9:20 a.m.
Life reviewers and filers: This session will put industry compliance
professionals and regulators in the same room to discuss timely issues in
the field with a panel of experts.
Facilitator: Alex Rogers (NAIC)
RF-205 │ Health Hot Topics (R/I)
8:30 a.m. – 9:20 a.m.
Health reviewers and filers: This session will put industry compliance
professionals and state regulators in the same room to discuss timely
issues in the field with a panel of experts.
Facilitator: Michelle T. Wilson (NAIC)
27
Conference Sessions
RF-210 │ P/C Hot Topics (R/I)
8:30 a.m. – 9:20 a.m.
P/C reviewers and filers: This session will put industry compliance
professionals and state regulators in the same room to discuss timely
issues in the field with a panel of experts.
Facilitators: Jennifer Miller (NAIC) and
Courtney Mayorga (NAIC)
RF-220 │ P/C – Ride Sharing (R/I)
9:40 a.m. – 10:30 a.m.
Ride-sharing is no longer limited to the carpool lane. Ride-sharing
services such as Uber, Lyft and Sidecar have changed the way insurance
companies approach coverage. Attend this session to learn how the
industry standard is changing.
Presenter: Eric C. Nordman (NAIC)
RF-225 │ Plan MGMT State/Industry Demo (R/I)
9:40 a.m. – 10:30 a.m.
Are you a Plan Management filer or reviewer? This session will show
both sides of the process in SERFF, including how the federal services
for template validation and plan transfer affect the workflow. Reviewers
will see how filers complete and submit their plans, and filers will observe
the review process from a regulator’s point-of-view.
Presenters: Brandy Woltkamp (NAIC) and
Nicholas Fosgate (NAIC)
28
Conference Sessions
RF-230 │ Navigating an IIPRC Filing (R/I)
9:40 a.m. – 10:30 a.m.
We will explore the ins and outs of a Compact filing from the view of
Compacting State regulators and company filers. Learn tips and tools to
make it easier to submit or access a Compact filing. We will also demo
SERFF Filing Access for Compact-approved filings.
Presenters: Karen Schutter (IIPRC), Becky McElduff
(IIPRC) and Bridget Kieras (NAIC)
RF-240 │ IIPRC Update (R/I)
10:40 a.m. – 11:30 a.m.
We will cover current and emerging items at the Interstate Compact. We
will discuss the evolution and usage of mix and match, the emergence of
combination products, the development of future standards for individual
and group products, and updates to the filing review process.
Presenters: Karen Schutter (IIPRC) and
Becky McElduff (IIPRC)
RF-245 │ SERFF Filing Access (R/I)
10:40 a.m. – 11:30 a.m.
SERFF Filing Access (SFA) is one of our newest enhancements. SFA
provides consumers and interested parties the ability to access SERFF
filings via the Web. This session will detail the process regulators go
through to use SFA. SERFF staff will also demonstrate the search
process and provide information on the future of SFA.
Presenter: Cait Wingard (NAIC)
RF-250 │ Game Show (R/I)
1:00 p.m. – 1:50 p.m.
You asked, and we listened. The SERFF game show is back! Compete
against your fellow attendees in this high stakes trivia game.
Facilitators: Alex Rogers (NAIC) and Cait Wingard (NAIC)
29
Conference Sessions
RF-260 │ Game Show (R/I)
2:00 p.m. – 2:50 p.m.
You asked and we listened. The SERFF game show is back! Compete
against your fellow attendees in this high stakes trivia game.
Facilitators: Alex Rogers (NAIC) and Cait Wingard (NAIC)
RF-270 │ SERFF Enhancements (R/I)
3:10 p.m. – 4:00 p.m.
Enhancements are coming! This session will detail the newest
enhancements slated for upcoming SERFF releases. Attend this session
to see if your suggestion is in the next release!
Presenters: Stacie Donner (NAIC) and Chris Mullins (NAIC)
RF-280 │ Search and Export (R/I)
4:10 p.m. – 5:00 p.m.
SERFF staff will demonstrate the search feature and provide helpful tips
and tricks for finding the filings or plans you need. Next, we will dive into
the Export Tool* and talk about how you can utilize it for custom reporting.
*Industry users must have a data hoster to utilize the Export Tool functionality.
Presenter: Chris Bien (NAIC)
Wednesday, April 29
RF-300 │ Help Desk FAQs (R/I)
8:30 a.m. – 9:20 a.m.
The help desk receives hundreds of inquiries a day. In this session, the
help desk team will review the most frequently asked questions and
share their answers along with other helpful tips.
Presenters: SERFF Help Desk Team (NAIC)
30
Conference Sessions
RF-310 │ Flipside – Rate and Forms (R/I)
9:40 a.m. – 10:30 a.m.
Industry compliance professionals: Have you have wondered about a
state’s review process for rate and form filings? Regulators: Have you
ever wanted to know what the filer does to create and submit a filing?
SERFF will demonstrate both sides, complete with submitting, reviewing
and approving a filing.
Presenters: Connie Lancaster (NAIC)
and Bryan Hartwell (NAIC)
RF-320 │ Flipside – Rate and Forms (R/I)
10:40 a.m. – 11:30 a.m.
Industry compliance professionals: Have you ever wondered about a
state’s review process for rate and form filings? Regulators: Have you
ever wanted to know what the filer does to create and submit a filing?
SERFF will demonstrate both sides, complete with submitting, reviewing
and approving a filing.
Presenters: Connie Lancaster (NAIC)
and Bryan Hartwell (NAIC)
Technology Track
Monday, April 27
IT-100 │ Adventures in the TechEx Track! Welcome and
Opening Remarks from the NAIC IT Director (R*)
1:45 p.m. – 2:00 p.m.
Join us for this welcome to the E-Reg Conference and overview of the
TechEx track.
Presenter: Denise Matthews (NAIC)
31
Conference Sessions
IT-110 │ Intriguing! Thought Provoking! Thrilling! (R*)
2:05 p.m. – 2:55 p.m.
For all you tech geeks out there, this is the session for you. This is what
you all have been waiting for! The 2014 State Technology Survey Results
are available now at a conference session near you! Are you curious
about what other states are doing with mobile computing? Would you like
to know more about the latest and greatest cloud computing initiatives?
Come hear what your peers in other states are doing with new technology,
where they are headed with new IT projects and the challenges they are
facing. This will NOT be another dull survey report session; we promise
you will have fun and take home valuable information.
Presenters: Michael J. Press (NAIC) and Jan Huff Soper (NAIC)
IT-120 │ Is Technology an Asset or a Liability (R*)
3:00 p.m. – 3:50 p.m.
Our presenter, John Leek, is a security and controls expert who will speak
on how you can effectively leverage technology to execute your company’s
strategic plan and protect your business assets from emerging data
security threats. Some of the issues he will address include:
• Is technology advancing your business or holding you back?
• How confident are you that your technology team is effectively
protecting your company?
• How well is your technology team serving your business and
moving it forward?
• Do you consider technology a strategic part of your business growth?
Presenter: John Leek (NetStandard)
32
Conference Sessions
Tuesday, April 28
IT-200 │ Technical Orienteering in State Producer
Licensing (R*)
8:30 a.m. – 9:20 a.m.
Come to this presentation to get your bearings on technical
enhancements to the State Producer Licensing process. We will study
the map to clearly understand the necessary steps needed to complete
the point-to-point navigation.
Presenter: Michael Wellington (NAIC)
IT-210 │ User Analytics, Tools and Tactics (R*)
9:45 a.m. – 10:35 a.m.
This presentation will examine the current state of online user analytics
tools and tactics. We will cover implementation by Web and application
developers across different environments—here at the NAIC and
elsewhere in the Googleverse.
Presenters: Jeremy Wilkinson (NAIC) and
Teresa L. Ankrum (NAIC)
IT-220 │ Navigating Changes in TeamMate Software (R*)
10:40 a.m. – 11:30 a.m.
This session will cover the history and background of state insurance
department use of TeamMate software, describe NAIC support services
for the tool and discuss the future of the TeamMate software and
related support. Specific topics to be covered include TeamMate R11
enhancements, centralized vs. distributed platforms, additional staff
support at the NAIC, the potential for enhanced hosting services and
plans for the next generation of TeamMate.
Presenters: Becky Meyer (NAIC) and
James Portuguez (NAIC)
33
Conference Sessions
IT-230 │ Explore the Possibilities for Managing
Cyber Risks (R*)
1:00 p.m. – 1:50 p.m.
The session will cover the work of the Cybersecurity (EX) Task Force and
what it plans to accomplish in 2015. This includes a review of the safeguards
that the NAIC, NIPR and IIPRC have implemented to protect the states’
data entrusted to us. Learn what the Task Force is doing that will affect
financial and market examinations and how regulators communicate about
cyber risks. You will be surprised to know how much coordination is being
accomplished today to stay one step ahead of the hackers.
Presenters: Eric Nordman (NAIC), Forrest R. Mohn (NAIC)
and Miguel Romero (NAIC)
IT-240 │ Ensuring a Capable NextGen Workforce –
Solutions from a Government Insider (R*)
2:15 p.m. – 3:05 p.m.
Explore the possibilities and learn what the state of California – Office of
Professional Development is doing to assist the state’s IT workforce in
recruiting, hiring and retaining the next-generation workforce. During this
innovative session, learn how your organization can assess its retirement
risks and implement effective solutions, even with limited resources.
Also hear about an innovative approach to educate your workforce on
“problem” project disciplines. You will leave this session with practical
information and access to tools, templates and presentations geared
towards assisting those tasked with implementing workforce/succession
planning initiatives.
Presenter: Christie Borchin (CA)
34
Conference Sessions
IT-250 │ Guided Tours & News (R*)
3:15 p.m. – 4:05 p.m.
• Sailing the Course into the Future of I-SITE
3:15 p.m. – 3:25 p.m.
Overview and deliverables review for the new I-SITE application.
Presenter: Shawn L. Hardin (NAIC)
• The Passage to MITS+ETS=MATS
3:25 p.m. – 3:35 p.m.
Deliverables and prototype review of the Market Actions Tracking
System.
Presenter: Joe B. Paolucci (NAIC)
• Field LANs
3:40 p.m. – 4:05 p.m.
Alternatives when the company will not give you an ethernet
connection to the Internet.
Presenter: Tom Walker (NJ)
Wednesday, April 29
IT-300 │ SBS 2016 Overview (R*)
8:30 a.m. – 9:20 a.m.
State Based Systems (SBS) has expanded to include 28 NAIC members
that use a variety of SBS services to support key business initiatives,
including producer and company licensing, continuing education,
consumer services and market regulation. This session will not only
provide an overview of SBS as it works today, but also will provide reviews
of the new user interface and key functionality enhancements being
developed as part of the rewrite of the system set for deployment in 2016.
Presenter: Roger Graves (NAIC)
35
Conference Sessions
IT-310 │ BYOD – It’s Coming! Wait, It’s already here!
You can’t stop it, but you can control it. (R*)
9:25 a.m. – 10:15 a.m.
It may not be something you really want in your IT shop, but it is there
whether you like it or not. How are you handling bring your own device
(BYOD)? Do you embrace it or just tolerate it ... or even ban it? This
session will feature a panel of state IT regulators discussing their
approaches to BYOD and includes an opportunity for attendees to
participate with comments and questions for the panel.
Presenter: Michael J. Press (NAIC)
IT-320 │ Technology Churn: The Good,
the Bad and the Ugly (R*)
10:25 a.m. – 11:15 a.m.
When it comes to development technologies, the concept of “churn” can
cause many problems. Systems development is expensive, and if you
already have your main components in place—i.e., database, accounting
and critical applications—you need to make hard decisions before
affecting the majority of your customers.
Presenter: Rupert E. Klein (NAIC)
IT-330 │ All Adventures Don’t Have to Come to an End!
Closing Comments from the NAIC IT Director (R*)
11:20 a.m. – 11:30 a.m.
As TechEx comes to a close, this session will recap the key information
and outline options to carry this information forward as attendees return
to their departments.
Presenter: Denise Matthews (NAIC)
36
Conference Sessions
Alternative Track
Monday, April 27
ALT-100 │ SBS Overview (R/I)
2:40 p.m. – 3:30 p.m.
State Based Systems (SBS) is a product offering by the NAIC that
includes a wide range of comprehensive services from producer
licensing, company licensing and market regulation, as well as
integration with SERFF, the NAIC’s rate and form filing tool. SBS was
designed with the objective of allowing state and industry users the ability
to accomplish a myriad of tasks simply and effectively while using the
minimum number of screens and mouse clicks. This session will include
an overview what SBS has to offer the states and the insurance industry.
Presenter: Roger Graves (NAIC)
Tuesday, April 28
ALT-200 │ Washington Update (R/I)
8:30 a.m. – 9:20 a.m.
Wondering what is going on in the nation’s capital? Join us for a
Washington update from Tony Cotto, the NAIC’s government relations
policy counsel. Cotto will provide an overview of the 2015 congressional
membership and hot topics, as well as what the 2015 focus will be from
the federal agencies.
Presenter: Tony Cotto (NAIC)
37
Conference Sessions
ALT-210 │ Is Technology an Asset or a Liability (R/I)
9:40 a.m. – 10:30 a.m.
Our presenter, John Leek, is a security and controls expert who will
speak on how you can effectively leverage technology to execute
your company’s strategic plan and protect your business assets from
emerging data security threats. Some of the issues he will address
include:
• Is technology advancing your business or holding you back?
• How confident are you that your technology team is effectively
protecting your company?
• How well is your technology team serving your business and
moving it forward?
• Do you consider technology a strategic part of your business
growth?
Presenter: John Leek (NetStandard)
ALT-220 │ Health Care Update (R/I)
10:40 a.m. – 11:30 a.m.
This session will cover current and future issues related to health
care reform, touching on the U.S. Supreme Court’s decision on the
constitutionality of the individual mandate, health insurance exchanges
and the 2014 health insurance market reforms.
Presenter: Jolie Matthews (NAIC)
ALT-230 │ Washington Update (R/I)
2:00 p.m. – 2:50 p.m.
Wondering what is going on in the nation’s capital? Join us for a
Washington update from Tony Cotto, the NAIC’s government relations
policy counsel. Cotto will provide an overview of the 2015 congressional
membership and hot topics, as well as what the 2015 focus will be from
the federal agencies.
Presenter: Tony Cotto (NAIC)
38
Conference Sessions
ALT-240 │ OPTins Tutorial (R/I)
3:10 p.m. – 4:00 p.m.
Learn why OPTins is being utilized by 23 states and nearly 7,000
companies and producers to submit their premium tax and surplus lines
tax. This session will provide an in-depth overview of the system. Learn
how to get the most out of OPTins if you’re already using the system
and, if you’re not using it yet, why you’ll want to join your peers!
Presenter: Michelle T. Wilson (NAIC)
Wednesday, April 29
ALT-300 │ CIPR Overview (R/I)
10:40 a.m. – 11:30 a.m.
The Center for Insurance Policy and Research (CIPR) provides thought
leadership and information on the latest regulatory activities, key issues,
trends and risks that affect the insurance industry. Find out how the CIPR
expands regulatory support, how the CIPR website has become the goto site for regulatory and public policy information, and get the latest on
its most recent study.
Presenter: Shanique V. Hall (NAIC)
39
Post-Conference Sessions
Wednesday, April 29
PC-300 │ Producer Licensing Regulator-Only Summit (R*)
1:00 p.m. – 5:00 p.m.
This regulator-only session is an opportunity for producer licensing
regulators and NAIC/NIPR staff to interact on the importance of “quality,
simplicity, consistency.” This is also a chance for regulators to provide
feedback on current product and services.
Presenters: NAIC/NIPR Staff
PC-310 │ Creating SERFF Filings (I)
1:00 p.m. – 4:00 p.m.
Pre-registration and pre-payment required.
Regular Rate: $99
If you are responsible for submitting electronic filings with the SERFF
application, you will not want to miss this hands-on course. Enroll now to
better understand the SERFF application and the entire filing process.
Presenter: Teresa Pantoja (NAIC)
Thursday, April 30
PC-320 │ SBS Education Day (R*)
9:00 a.m. – 3:00 p.m.
State Based Systems (SBS) has expanded to include 28 NAIC members
that use a variety of SBS services to support key business initiatives,
including producer and company licensing, continuing education, consumer
services and market regulation. SBS Education Day 2015 will provide an indepth review of the new user interface and key functionality enhancements
being developed as part of the rewrite of the system set for deployment in
2016. Come to SBS Education Day to learn more about SBS 2016.
Presenters: Roger Graves (NAIC), Elisa Bourgeois (NAIC)
and Lauren Ashley (NAIC)
40
Special Session
Adam Hamm
NAIC Past President
North Dakota Insurance Commissioner
Adam Hamm was appointed insurance
commissioner by North Dakota Gov. John
Hoeven in October 2007, elected to a four-year
term in November 2008 and re-elected to a
second four-year term in November 2012.
Hamm’s dedication to serve the public began
with his work as a prosecutor at the Cass County State’s Attorney’s
office. Hamm prosecuted personal crimes, including murder, rape,
robbery, assault, and child physical and sexual abuse. This work gave
Hamm an understanding of what it takes to protect the public. Hamm
also has worked as an attorney in private practice, advocating for
North Dakota businesses and individuals.
Additionally, Hamm is active in the NAIC. He is the immediate past
President of the NAIC, and chairs its new Cybersecurity (EX) Task Force.
He also serves on numerous NAIC committees, including the Executive
(EX) Committee, the Financial Regulation Standards and Accreditation
(F) Committee and the Government Relations (EX) Leadership Council.
Additionally, Hamm was selected by his fellow insurance commissioners
to serve on the U.S. Financial Stability Oversight Council (FSOC). In this
role, Hamm represents the interests of all the nation’s state insurance
regulators. His NAIC and FSOC work ensures that North Dakota has a
strong national voice in both insurance regulation and the security of our
entire financial system.
Hamm is a graduate of Sam Houston State University and earned his law
degree, with distinction, from the University of North Dakota School of
Law.
41
Keynote Speakers
Senator Ben Nelson
NAIC Chief Executive Officer
Senator Ben Nelson became the CEO of the
NAIC Jan. 18, 2013. He was selected based on
his unique combination of executive, legislative
and regulatory experience. Senator Nelson was
elected to the U.S. Senate in 2000. After his first
term, he was reelected with 64% of the vote in
2006. He announced his retirement in late 2011
and did not seek a third term in 2012.
In the Senate, he served on the Agriculture Committee and Armed
Services Committee. He also served as chairman of the Strategic Forces
Subcommittee. Working with Republicans and Democrats, Senator
Nelson forged agreements between the Bush administration and the
Senate on tax cuts, Medicare reform and homeland security. During the
first term of the Obama administration, he co-founded a bipartisan “Jobs
Squad” of senators that cut $108 billion in spending from an economic
recovery plan that ultimately became law. In the months following 9/11,
Senator Nelson was instrumental in gaining passage of the federal
Terrorism Risk Insurance Act (TRIA), which provided a “backstop” for
catastrophic insurance losses resulting from acts of terrorism. Earlier
in his career, Senator Nelson was governor of Nebraska. In 1994, he
was the first Nebraska governor to be elected to a second term in two
decades. His record of balancing Nebraska’s budget as governor was
an asset as he worked to reduce federal spending in a way that was
effective and fair. Senator Nelson started his career in insurance law.
He served as CEO of the Central National Insurance Group, as chief
of staff and executive vice president of the NAIC, and as director of the
Nebraska Department of Insurance.
Senator Nelson earned a bachelor’s degree, a master’s degree and a
law degree from the University of Nebraska.
42
Keynote Speakers
Monica J. Lindeen
NAIC President
Montana Commissioner of
Securities and Insurance
Monica J. Lindeen was elected commissioner
of securities and insurance, Montana state
auditor in November 2008, and was re-elected
to a second term in November 2012. During her
tenure, her office has returned more than
$200 million to investors and insurance
consumers throughout the state.
Lindeen currently serves as president of the NAIC. In this role, she
chairs the Executive (EX) Committee, the Government Relations (EX)
Leadership Council, the NAIC/State Government Liaison Committee
and the International Insurance Relations (EX) Leadership Group. She
has served as past secretary-treasurer of the NAIC and was recently
appointed to the Federal Insurance Office Advisory Board, which aids the
office’s director in monitoring the insurance industry.
In 1999, Monica began her career in public service representing a rural
district in the Montana House of Representatives. She quickly became a
leader in the House and served four terms (1999–2006).
Prior to public service, Monica founded Montana Communications
Network (MCN), one of the first Montana-based Internet providers.
From 1994 to 1996, she was a part-time faculty member in the
Montana State University (MSU) Billings English Department and taught
as a graduate assistant in the Department of Educational Foundations.
Monica earned a bachelor’s degree in education, specializing in
English and history. She completed graduate coursework in educational
foundations at MSU Billings.
43
Keynote Speakers
John M. Huff
NAIC President-Elect
Missouri Insurance Director
In February 2009, Missouri Gov. Jay Nixon
appointed, and the Missouri Senate confirmed,
John M. Huff as Director of the Missouri
Department of Insurance (DOI), Financial
Institutions and Professional Registration.
An attorney, Huff leads the largest consumer protection agency in the
state, which regulates the $34 billion insurance industry, the $112 billion
state-chartered financial institutions and half a million professionals who
affect Missourians’ lives daily.
Huff has overseen the transformation of the DOI to Web-based
technology, gaining efficiencies with online complaint filings, regulated
entity data reporting, and licensure applications and renewals. He was
recently elected by his peers to serve as president-elect of the NAIC and
assumes the role of NAIC president in 2016.
Huff also has served in several other leadership roles with the NAIC,
including his 2010 appointment to the U.S. Financial Stability Oversight
Council (FSOC). He served two terms on FSOC and was the first state
insurance regulator to be appointed by the NAIC. He chairs the NAIC’s
Reinsurance (E) Task Force, the Financial Regulation Standards and
Accreditation (F) Committee and the Governance Review (EX) Task
Force. He also is vice chair of the NAIC/Industry Liaison Committee.
Before entering public service, Huff spent 11 years as an executive with
leading insurers and reinsurers, including Swiss Re and GE Insurance
Solutions. At these companies, he led global teams and was stationed in
London and Zurich.
44
Keynote Speakers
Sharon P. Clark
NAIC Vice President
Kentucky Insurance Commissioner
Sharon P. Clark was appointed commissioner
of the Kentucky Department of Insurance (DOI)
in July 2008, and was reappointed to the post
in July 2012. Clark was the first director of the
DOI’s Consumer Protection and Education
Division, a position she held for five years.
Clark served as the chair of the Kentucky Health Benefit Exchange
Advisory Board during its inaugural year and continues as a board
member. She is a member of the Kentucky Group Health Insurance
Board. Additionally, she is vice president of the NAIC, a member
of its Executive (EX) Committee and Internal Administration (EX1)
Subcommittee, past chair of the Market Regulation and Consumer Affairs
(D) Committee, and past officer for the Southeast Zone. She is also past
secretary-treasurer of the NIPR Board of Directors and is interim chair of
the Surplus Lines Multistate Compliance Compact.
Prior to being appointed commissioner, Clark worked at the Finance and
Administration Cabinet. She also held positions for the Kentucky House
of Representatives, the Public Service Commission and the former
Workforce Development Cabinet.
Clark earned bachelor’s and master’s degrees from the University of
Kentucky.
45
Keynote Speakers
Stephen W. Robertson
Indiana Department of Insurance Commissioner
Indiana Gov. Mitch Daniels announced the
appointment of Stephen W. Robertson as
insurance commissioner in October 2010. He
was reappointed in January 2013 by Indiana
Gov. Mike Pence.
Robertson joined the Indiana Department of
Insurance (DOI) in 2008, first as director of the
Title Insurance Division and then as deputy commissioner of the Title
and Bail Bond Division. He ensured the legal compliance of 41 insurance
companies and 800 insurance agencies, as well as regulatory oversight
of 375 bail bond and recovery agents.
He has a long career of public and private service. This includes nearly
a decade with Conseco Insurance Group, where he was a senior
vice president. Robertson also has served as general counsel of the
Nebraska DOI and was a sergeant in the military police.
Robertson earned his undergraduate and law degrees from the
University of Nebraska. He is a member of the Indiana State Bar
Association, the Nebraska State Bar Association and the American Bar
Association.
46
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47
Exhibitors
SM
Frank
Fran
48
Exhibitors
Applicant Insight
Applicant Insight (Ai) is a leading provider of
agent processing services, including integrated
background screening. Our patented solution,
nomoreforms, provides a Web-based agent contracting solution for the
heavily regulated insurance industry and achieves time and cost savings
through an electronic process. Ai offers expert program management
and an extensive services offering for background screening. Our focus
is to minimize on-boarding risks through the design and execution of a
screening program built to ensure compliance with regulating agencies.
Nomoreforms collects, routes, processes, manages and distributes
documents and information through an interactive agent interface and
backend-management-portal to eliminate many traditionally paperintensive tasks. Ask us about our interfaces with NIPR and Vector-One.
First Consulting
First Consulting & Administration, Inc. is a premier
provider assisting the insurance industry in achieving
business strategies with a focus on compliance and
regulatory issues. Since 1969, First Consulting has
advised and assisted companies across the country. The primary areas
of practice include product development, drafting and filing; compliance
consulting; third-party administrator licensing; research; advertising
compliance; Uniform Certificate of Authority Application (UCAA) filings;
corporate governance; anti-fraud training; and a full range of Enterprise
Risk Management (ERM) services, including Own Risk and Solvency
Assessment (ORSA) compliance tailored to insurance company needs.
More information about our Co-sourcing services is available at
www.firstconsulting.com.
49
Exhibitors
McCamish Systems,
an Infosys Company
Infosys McCamish Systems is a premier provider of
Producer and Policy Administration solutions to the
life, property & casualty and health insurance industry. Infosys McCamish
solutions include PMACS® (Producer Management and Compensation
Systems), a comprehensive suite of products used for agent licensing
and appointments, agent compensation, incentive/bonus compensation
management, producer portals and agent onboarding, and VPAS®, used
for new business fulfillment and policy administration. Infosys McCamish
also provides 409A-compliant non-qualified benefit plan design platforms
and 401(k) plan administration services to the retirement services
industries.
NAIC Education & Training
Since 1989, the NAIC has been the educational resource for insurance
regulators and industry professionals throughout the United States
and abroad. The NAIC has consistently set the standard for insuranceoriented educational courses, leveraging the latest technology and
applying the best instructional methods for today’s busy adult learners.
Over the years, we have offered more than 500 quality courses, often
working in collaboration with national and international insurance and
financial services organizations. We offer classroom, online and on-site
courses, giving you choices in the way you want to learn. Enroll in one
of our courses today, and see why so many people choose the NAIC as
their source for professional development. For up-to-the-minute dates
and course locations, please visit us at http://education.naic.org.
50
Exhibitors
NAIC Financial Summit
The 2015 NAIC Financial Summit: Leadership
Initiatives is a two-and-a-half day conference
focused primarily on solvency topics. The Summit is an excellent
education forum due to the relevance and usefulness of information
provided, the wide variety of topics presented and the high caliber of
presenters. And, attendees can earn up to 19.5 hours of CPE!
The NAIC is registered with the National Association of State Boards
of Accountancy (NASBA) as a sponsor of continuing professional
education. The 2015 Financial Summit will include information on
cybersecurity, principle-based reserving, accreditation, XXX/AXXX
reinsurance, risk-focused surveillance, statutory accounting and
reporting, international initiatives … and much more.
NAIC Insurance Regulator
Professional Designation Program
More than 1,000 enrollments and growing.
Our designations have been designed
to assure that regulators have a basic
understanding of market, solvency, and rates and forms regulation at
the APIR level, specialized training in regulatory concepts at the PIR
level, leadership training at the SPIR level, and a focused understanding
of investments at the IPIR level. We continue to add new course
opportunities at the PIR level, and the new IPIR courses are rolling out at
a rapid pace! Be sure to stop by our booth and see what’s new! We invite
you to sign up and learn how this program can help you achieve your
personal goals. Visit us at www.naic.org/education_designation.htm.
51
Exhibitors
NAIC Publications and
Financial Statement Data
The NAIC is the authoritative source for insurance
industry information. Our expert solutions support
the efforts of regulators, insurers and researchers
by providing detailed and comprehensive insurance information. The
NAIC maintains a comprehensive catalog of publications and insurance
regulatory data products online. Most of our publications are available
for immediate download in PDF format. The NAIC also maintains the
Valuation of Securities database, which contains more than 250,000
securities from more than 40,000 issuers. This wealth of information is at
your fingertips with a subscription to the Automated Valuation Service
(AVS+). For more information, visit http://www.naic.org/prod_serv_home.htm.
National Insurance Producer Registry (NIPR)
The National Insurance Producer Registry
(NIPR) is the premier public-private
partnership supporting the work of the
states and the NAIC in re-engineering
and streamlining the insurance producer licensing process through
uniformity. Available products include the Producer Database (PDB);
electronic applications for Non-Resident and Resident Licenses (initial
and renewal); Non-Resident Adjuster Licensing that accommodates
Designated Home States; Attachments Warehouse - a licensing
tool that electronically receives, stores and shares, with regulators,
licensing related documents that are submitted by producers/authorized
submitters; and the ability to submit a Contact Change Request (CCR)
electronically. For more information, visit www.nipr.com.
SM
52
Exhibitors
Netstandard, Inc.
NetStandard is a leading provider
of strategic information technology
solutions for small and mid-size businesses. Our full-service technology
solutions include managed technology services, virtual machines, cloud
computing and data center services, all delivered with a consultative
approach and supported 24x7x365 by our expert teams of engineers.
We own and operate a secure, KC-based data center that supports our
virtual hosting and secure cloud environments for customers in Kansas
City and across the country. Clarity, our managed IT services, offers a
comprehensive, outsourced technology solution that provides businesses
with the security and momentum they need to continue growing forward.
Northstar Exams
NorthStarExams, LLC, is a
regulatory consulting group
consisting of a highly qualified and
mobile national network of regulatory professionals who have been
assisting insurance regulators throughout the United States. The main
purpose of NorthStarExams is to assist insurance regulators in fulfilling
their responsibilities in the most efficient and cost-effective manner
possible. NorthStarExams was formed in August 2007. NorthStarExams
provides several market conduct and financial examination
methodologies, having pioneered a new and innovative risk-based
market conduct approach.
53
Exhibitors
Online Premium Tax for Insurance
(OPTins)
OPTins has been facilitating the electronic
submission of premium tax and surplus lines tax,
as well as state-specific filings and payments for participating states
since 2008. OPTins has integrated with TriTech, allowing Premium
Pro users a quick and seamless transition to submit their forms and
payments electronically through OPTins. Currently, Alabama, Alaska,
Arizona, Connecticut, Delaware, District of Columbia, Idaho, Indiana,
Michigan, Montana, Nebraska, New Hampshire, New York, North
Dakota, Oklahoma, Puerto Rico, Rhode Island, Tennessee, U.S. Virgin
Islands, West Virginia and Wyoming accept tax-related filings and
payments via OPTins. For more information, visit www.optins.org.
Franklin Gothic Demi Cond
Franklin Gothic Medium Italic
Quest CE
For more than 25 years, Quest CE has
built a reputation for being the premier
provider of compliance management solutions to the financial services
industry. In addition to offering third-party Providership Administration
services and on-demand Insurance and Designation Continuing
Education (CE), Quest CE also provides a complete spectrum of
proprietary technology solutions for complying with state, federal and
internal requirements—from its multi-faceted Licensing & Registration
System to its mobile-ready Branch Audit Management Tool, and Global
NAIC Annuity Training Portal. Come say hello @QuestCE.
54
Exhibitors
RegEd
RegEd is a leading provider of compliance
technology solutions with relationships with
more than 400 enterprise clients, including 80% of the top 25 brokerdealers and top 25 insurance companies. Established in 1994 by former
regulators, the company is a recognized industry authority and has
created the standard of excellence for rule-based and content-driven
compliance automation for insurance companies, investment advisors
and broker-dealers. RegEd solutions drive new levels of operational
efficiency and enable firms to cost-effectively comply with regulations
and mitigate risk. For more information, please visit www.reged.com.
State Based Systems (SBS)
SBS is a robust Web-based solution supporting
many aspects of insurance regulation in a cohesive
user-friendly interface that requires little user
training. With 28 licensees, SBS is the solution of choice for more state
insurance departments than any other system. The goal of SBS is to
provide the highest level of efficiency at the lowest possible cost to NAIC
members. SBS is currently the system of choice in Alabama, Alaska,
Arkansas, Arizona, Delaware, the District of Columbia, Florida, Illinois,
Iowa, Kansas, Maryland, Missouri, Montana, Nebraska, New Hampshire,
New Jersey, New Mexico, North Carolina, North Dakota, Oklahoma,
Oregon, Puerto Rico, Rhode Island, Tennessee, U.S. Virgin Islands and
West Virginia. Limited SBS services are also licensed by South Carolina
and Virginia. For more information, visit www.statebasedsystems.com.
55
Exhibitors
System for Electronic Rate and
Form Filing (SERFF)
For more than a decade, SERFF has proven
to be the speed-to-market tool of choice for the
submission of rate and form filings for both regulators and the insurance
industry. More than 3,600 different company types—including insurance
companies, third-party filers, warranty companies and viatical settlement
companies to name a few—use SERFF to obtain approval for insurance
product filings. Users can submit filings in 53 states and jurisdictions,
with 31 jurisdictions mandating the usage of SERFF. If you are one of the
few who are not yet reaping the benefits of SERFF, ask yourself, “Why
not?” Then stop by our booth or visit www.serff.com to learn more.
Systeme Software
Systeme Software, Inc. has been serving the insurance
licensing market since 1983. The Cratchit® family of
products provides a suite of license management and
appointment/termination processing and tracking tools
that is both powerful and flexible. Real-time access to the
Producer’s Database, as well as a wide range of useful
reports, makes it an excellent choice for your licensing needs. No setup
fees, maintenance fees or any other hidden fees make it an excellent
choice for your bottom line.
56
Exhibitors
TriTech Software
Development Corp.
TriTech leads the market in the insurance
tax industry. TriTech’s Premium Pro software provides tax solutions
for premium and municipal tax filers. The company also facilitates and
provides electronic filing capabilities for various states for premium tax.
TriTech Services is a premium and municipal tax preparation firm with
200+ years of experience working with the largest insurance companies.
The services offered include a unique combination of consulting and
preparation related to state and local taxes. The consulting group assists
with reverse audits, retaliatory concerns, desk and field audits, and state
return reviews.
Vertafore
Vertafore’s Sircon for States solution is the
industry’s leading suite of Web-based services
designed specifically for state insurance regulators to enhance service
to the industry while protecting consumers. Sircon for States simplifies
regulatory operations management by offering full functionality with the
highest standards of data integrity and security. Sircon provides flexibility
to adapt to regulator needs, industry portals, reporting and advanced
integration for operational efficiency. Backed by a dedicated team of
industry, regulatory and technology experts, Sircon for States is an
insurance regulator’s best choice today and beyond.
57
Exhibitors
Westmont Associates
Westmont Associates, Inc. brings together
an unparalleled team of seasoned
professionals, including both contract/compliance specialists and
attorneys, whose combined experience spans more than 10 decades.
Some of the many services that Westmont provides are: form, rate and
rule filings (all product lines, all states); product development; company
formation and licensing; agent/agency licensing; risk purchasing
group registrations/renewals; redomestications and name changes;
underwriting and compliance audits; mergers and acquisitions; claims
management; due diligence; liquidations; rehabilitations; and reinsurance
commutations.
58
Exhibit Hall Map
SM
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NAIC Information Booth
59
Westin Crown Center
BALLROOM LEVEL
Century A
Banquet
Office Roanoke
Century C
Century B
Westport
Penn
Valley
Stairs
Garden Terrace
Pershing
North
rs
Pershing Pershing
West
East
ll
rfa
ate
W
ato
ev
El
Escalator
Pershing
South
M/W
LOBBY LEVEL
Union Hill
Washington Park
Place 1
W
M
Coat
Room
60
Washington
Park Foyer
Washington Park
Place 2
Washington Park
Place 3
Service Area
Brookside
Room
Liberty
M W
>>> To The Link
>>> To Crown Center Shops
Century Foyer
Independence
Shawnee Mission
Presidents
Banquet, kitchen and service area
Downtown Kansas City
11th
NAIC
12th
13th
KC
P&L
Sprint
Center
14th
Truman Rd
I-670
Truman Rd
Baltimore
Wyandotte
Central
Broadway
16th
17th
18th
19th
Cherry St
Locust St
Oak St
McGee
Grand
21st
Walnut
Main
20th
Union
Station
Sheraton
W Penway St
Pershing Rd
Westin
“The Link”
Gillham Rd
22nd
N
Crown
Center
61
62
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