Our Services

Comprehensive Compliance Services

In addition to our Market Conduct Auditor® software, insurance companies depend on Lou Penn & Associates for all their compliance needs. Some of our popular services include:


gavel icon

Performing a mock audit reveals problem areas in your company’s operations that can be fixed before an on-site state examination. Equipped with the knowledge gained from a mock audit, you then implement corrective actions to greatly reduce the administrative time and costs associated with market conduct examinations. We can also provide you with an interactive “Individual Company Compliance” database to view your company’s current and past company market conduct examinations and enforcement actions in a matrix/chart format on your own systems.

file folder icon

View your company results in a violation matrix and excel chart on your own secure website in the privacy of your compliance team by policy, claim, etc., by type of product or line of business and by the state(s) and line of business that you are writing. These results can be accessed on your company system and provided to the areas in your company involved in compliance. You can view, add, or modify past or current audit market conduct results/issues. You can just add them to your own secure version of our “View Company Violations Database” and pass the results on to other departments in your company for review.

design and planning

Designed by experts in regulatory intelligence with insider knowledge of Department of Insurance processes, our team can deliver training for insurance industry professionals. Our seminars and training cover the issues your team needs to know to stay in compliance and protect your company. We can cover best practices in market conduct regulations and compliance, basic fraud investigations, the foundations of insurance regulation, and what market conduct examinations cover.

Additional Services

Maintain the highest standards of insurance compliance with the help from Lou Penn & Associates. We can help you:

  • Start a market conduct compliance department or program
  • Prepare for your next state insurance department examination
  • Assess current compliance methods & procedures to determine areas of vulnerability
  • Satisfy regulatory requirements that vary from state to state and constantly change
  • Manage research projects as needed for specific issues 
  • Support implementation of remedial actions
  • Deliver seminars to your stakeholders to help secure buy-in for compliance projects
  • Prepare for re-exams
  • General consultations