Our Mission

To provide market conduct compliance services and market conduct auditing tool the "Market Conduct Auditor" to the insurance industry.

Company Profile

Lou Penn & Associates, Inc. was established in 1993 to provide regulatory compliance services to the insurance industry.  Since our entrepreneurial beginning we have conducted seminars, developed market conduct compliance manuals, performed mock audits and created market conduct auditing tools such as "ComplianceWare" that simplifies the examination process. We have recently created a new market conduct auditing tool called the "Market Conduct Auditor" that is available for demo and sale.

Compliance is one of the most critical and complex elements in the financial services industry today. Understanding the numerous regulations and enforcing compliance is a key factor to organizational success. The market conduct examination process is changing rapidly especially with the advent of the new market conduct annual statement and the calls for data to determine if you are or are not in compliance. Lets us provide you with the technology and efficiency that drive less expensive and more techno-compliance solutions. Don't be surprised, be pro-active and up-to-date with where the states are going. We can customize a course or presentation suited to your company's specific needs.

We can provide a customized 1 or 2 day seminar for a particular state and line of business which will demonstrate how the "Market Conduct Auditor" can be used to monitor market conduct compliance and how you can use it to create self-audits which you can download to word and excel files on your own computers. Everything has been done to keep the process simple in order to avoid time consuming audits and hunts for information.