For Insurance Carriers


Advertising Compliance

Are you confident that your company's Advertising Review process can weather regulatory scrutiny? Summit can help! We offer a number of services to help ensure your advertising process can protect you, your distribution and your policyholders. With decades of advertising compliance expertise, we offer a number of services to serve your needs, including:

  • Policy and procedure development

  • Advertising review workflow

  • Record retention

  • Audit and oversight

  • Advertising compliance training

  • Ad Review services for corporate and field-generated advertising

  • And much more!

Whatever your advertising need, we can help. Contact us today to for more information. 

Compliance Training

A successful compliance program is one that is communicated effectively and often to the right audience. Your employees and distribution partners rely on you for compliance guidance, updates and training. At Summit, we can help you by developing and delivering expert training on the compliance topics that matter most to you. We offer training through a variety of delivery methods, including on-line, in-person or 1-1 training/mentoring.  

Common training topics include:

  • Suitability/Best Interest/Fiduciary roles and responsibilities

  • Advertising compliance

  • Operational compliance for carrier employees and marketing organizations

  • Sales practice issues, such as replacements, cross border sales, sales to seniors, rebates and inducements, source of funds, etc.

  • Producer oversight, complaint resolution, etc.

  • And many more!

Whatever your training needs, we can help. Our training is delivered in easy to understand terms and includes real-life, practical ways to manage your compliance risks. Call us today to learn how we can provide the training and communication platform to support your compliance program!


Distribution Compliance

The regulatory environment continues to present new and complex challenges to insurance carriers.  At Summit, we leverage the experience and expertise of our network of professionals to provide you with the insights and consultative approach that can help you sleep better at night.  A few of the services we offer include:

  • Comprehensive or targeted risk assessments, complete with recommendations for industry best-practice solutions

  • Independent testing/assessment of distribution business partners

  • Industry-leading producer oversight models and processes

  • Targeted training for employees and producers

Summit offers a wide range of services that can be customized to meet your needs, as well as those of your distribution business partners.  Contact us to learn more about how we can help reduce your risk in this vital area.


Operations Compliance

Processes lie at the heart of a sound operations function by providing predictable, repeatable results.  At Summit, we understand how compliance controls can affect efficiency and customer satisfaction.  Our professional staff will leverage their extensive experience to provide industry best-practice solutions while always keeping efficiency in mind.  We offer a number of services including:

  • Independent testing of policies and procedures, supervisory procedures, and oversight protocols

  • Cybersecurity risk assessments, information security program development, third-party due diligence/oversight, etc.

  • Targeted employee training

  • Tailored process development and/or improvement

  • Best practice benchmarking

At Summit, our solutions can be customized to meet your individual needs.  Please contact us to learn more about how we can help you reduce your operational risk.