Name of session (1 line) SLIDE 43 Department of Insurance, Financial Institutions & Professional Registration DIFP Department of Insurance, Financial Institutions & Professional Registration DIFP SLIDE 43 Department of Insurance, Financial Institutions & Professional Registration DIFP Department of Insurance, Financial Institutions & Professional Registration DIFP Navigating the Market Conduct Frontier Stewart Freilich Senior Regulatory Affairs Counsel Jim Mealer Chief Market Conduct Examiner
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Name of session (1 line)
SLIDE 43
Department of Insurance, Financial Institutions & Professional Registration
DIFPDepartment of Insurance, Financial Institutions & Professional Registration
DIFP
SLIDE 43
Department of Insurance, Financial Institutions & Professional Registration
DIFPDepartment of Insurance, Financial Institutions & Professional Registration
DIFP
Navigating the Market Conduct Frontier
Stewart FreilichSenior Regulatory Affairs Counsel
Jim MealerChief Market Conduct Examiner
Name of session (1 line)
SLIDE 44
Department of Insurance, Financial Institutions & Professional Registration
DIFPDepartment of Insurance, Financial Institutions & Professional Registration
DIFP
Overview• Introduction
• Market Analysis process
• How your company can manage its Market Conduct risk more effectively
• Tips on moving a Market Conduct action toward conclusion
Navigating the Market Conduct Frontier
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SLIDE 45
Department of Insurance, Financial Institutions & Professional Registration
DIFPDepartment of Insurance, Financial Institutions & Professional Registration
DIFP
When navigating the Frontier, lessons from the Corp of Discovery still apply today
Navigating the Market Conduct Frontier
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SLIDE 46
Department of Insurance, Financial Institutions & Professional Registration
DIFPDepartment of Insurance, Financial Institutions & Professional Registration
DIFP
The Market Analysis Process
• Baseline analysis
• Level one analysis
• Level two analysis
Navigating the Market Conduct Frontier
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SLIDE 47
Department of Insurance, Financial Institutions & Professional Registration
DIFPDepartment of Insurance, Financial Institutions & Professional Registration
DIFP
Environmental scanning through Market Analysis
Navigating the Market Conduct Frontier
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SLIDE 48
Department of Insurance, Financial Institutions & Professional Registration
DIFPDepartment of Insurance, Financial Institutions & Professional Registration
DIFP
Effective Management of Market Conduct Risk
• Conducting internal analysis
• Conducting external analysis
• Proactively informing regulators of any regulatory issues that occur
Navigating the Market Conduct Frontier
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Department of Insurance, Financial Institutions & Professional Registration
DIFPDepartment of Insurance, Financial Institutions & Professional Registration
DIFP
• Examples of internal analysis
Effective Management of Market Conduct Risk
Navigating the Market Conduct Frontier
Name of session (1 line)
SLIDE 50
Department of Insurance, Financial Institutions & Professional Registration
DIFPDepartment of Insurance, Financial Institutions & Professional Registration
DIFP
Effective Management of Market Conduct Risk
• Examples of external analysis
Navigating the Market Conduct Frontier
Name of session (1 line)
SLIDE 51
Department of Insurance, Financial Institutions & Professional Registration
DIFPDepartment of Insurance, Financial Institutions & Professional Registration
DIFP
Effective Management of Market Conduct Risk
• Proactively informing regulators of any regulatory issues that occur
Navigating the Market Conduct Frontier
Name of session (1 line)
SLIDE 52
Department of Insurance, Financial Institutions & Professional Registration
DIFPDepartment of Insurance, Financial Institutions & Professional Registration
DIFP
Concluding Market Conduct Actions
The single biggest problem in the communication process is the illusion that it has taken place… George Bernard Shaw
Navigating the Market Conduct Frontier
Name of session (1 line)
SLIDE 53
Department of Insurance, Financial Institutions & Professional Registration
DIFPDepartment of Insurance, Financial Institutions & Professional Registration
DIFP
Concluding Market Conduct Actions
• Tips for the planning phase
• Tips for the fact finding phase
• Tips for the closing phase
Navigating the Market Conduct Frontier
Name of session (1 line)
SLIDE 54
Department of Insurance, Financial Institutions & Professional Registration
DIFPDepartment of Insurance, Financial Institutions & Professional Registration
DIFP
Concluding Market Conduct Actions
• Tips for the planning phase
Navigating the Market Conduct Frontier
Name of session (1 line)
SLIDE 55
Department of Insurance, Financial Institutions & Professional Registration
DIFPDepartment of Insurance, Financial Institutions & Professional Registration
DIFP
Concluding Market Conduct Actions
• Tips for the fact finding phase
Navigating the Market Conduct Frontier
Name of session (1 line)
SLIDE 56
Department of Insurance, Financial Institutions & Professional Registration
DIFPDepartment of Insurance, Financial Institutions & Professional Registration
DIFP
Concluding Market Conduct Actions
• Tips for the closing phase
Navigating the Market Conduct Frontier
Name of session (1 line)
SLIDE 57
Department of Insurance, Financial Institutions & Professional Registration
DIFPDepartment of Insurance, Financial Institutions & Professional Registration
DIFP
SLIDE 57
Department of Insurance, Financial Institutions & Professional Registration
DIFPDepartment of Insurance, Financial Institutions & Professional Registration
DIFP
Questions?
Navigating the Market Conduct Frontier
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SLIDE 58
Department of Insurance, Financial Institutions & Professional Registration
DIFPDepartment of Insurance, Financial Institutions & Professional Registration
DIFP
Get Social
Name of session (1 line)
SLIDE 59
Department of Insurance, Financial Institutions & Professional Registration
DIFPDepartment of Insurance, Financial Institutions & Professional Registration
DIFP
Disclaimer
The information provided in this presentation does not provide legal advice or interpretation and does not bind the Department in its enforcement of Missouri’s insurance laws.
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