Market Conduct Supervisory Models & Licensing Process Overview
This presentation provides insights into market conduct supervisory models, license types, licensing process, ongoing oversight, essential lessons learned, and open discussions regarding intermediaries in the United States. It covers topics such as license types, producer licenses, ongoing oversight, essential lessons learned, and more.
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Presentation Transcript
Market Conduct Supervisory Models of Intermediaries in the United States Monica J. Lindeen NAIC Vice President Montana Commissioner, State Auditor of Securities & Insurance
Presentation Overview License Types Licensing Process Ongoing Oversight Essential Lessons Learned Open Discussion
License Types Producer License Agents Brokers Surplus Lines Licenses by Line of Authority Individuals and Business Entities Resident and Non-Resident Limited Line Licenses
Licensing Process Pre-Licensing Education Uniform Application for Licensure Examination by Line of Authority Background Check Company Appointments Affiliations
Ongoing Oversight Continuing Education Requirements License Renewals Broad Enforcement Authority Company Appointment Terminations
Essential Lessons Learned Electronic Process is Essential Sharing of Information is Essential Broad Enforcement Authority is Essential Ongoing Improvement is Essential
