For Insurance Producers


Advertising COMPLIANCE Review

The advertising rules are complex and challenging to manage. State and federal advertising regulations require that you make no misleading statements - and that is particularly critical for your advertising. A misleading statement in advertising is written proof that regulators and plaintiff attorneys can use against you. Don't make it that easy for them!

Summit offers a variety of advertising review services to help you manage your advertising risks, including:

  • Pre-review and approval of materials

  • Post-review analysis and recommendations

  • One-on-one consulting on specific advertising concepts or materials

  • Advertising training

  • And much more!

Contact us to find out how we can tailor our services to meet your unique business needs.


Compliance Training

The insurance regulations are complex and many, and complying with them is critical to your continued success. At Summit, we understand that you're busy serving your clients and running your business so we make compliance training easy. We offer training on topics that are important to you in plain English. We offer training on-line, on-demand, or in-person to meet your busy schedule.

Some common topics include:

  • Suitability/Best Interest/Fiduciary roles and responsibilities

  • Advertising compliance considerations and best practices, including how to avoid misleading statements

  • Client file documentation and retention

  • Rebates and inducements

  • Client privacy and cybersecurity

  • Sales practices such as replacements, cross border sales, sales to seniors, rebates/inducements, etc.

  • Regulatory hot topics and ways to protect your business

  • And many more!

Whatever your training needs, we offer expert assistance drawing on decades of experience in the financial industry. Our training helps you understand what the rules mean to you, and proven, practical steps you can take to manage your risks. Call us today to see how we can make compliance easier!


Distribution Compliance

You've worked hard to build your practice.  Now it's time to ensure you can continue to enjoy your success well into the future.  Summit can help:

  • Find areas of higher risk throughout your practice and recommend practical solutions

  • Review your sales practices to find areas of potential concern

  • Conduct training on a wide range of topics

  • Provide suitability/best interest/fiduciary guidance

  • Review your advertising

  • General Q&A and compliance consulting

We can customize our services to fit your needs.  Contact us to learn more about how we can help protect you and your practice.


Operations Compliance

You're able to grow your practice by producing business.  Don't let the way you handle paperwork and other records undermine your success.  Summit can help:

  • Provide guidance on licensing, record retention, process/workflow, etc.

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

  • Give practical guidance on what to document, and how to document it, to protect yourself from complaints and lawsuits

  • Help ensure you aren't violating insurance carrier requirements

At Summit, we understand how hard you work to grow your business.  We leverage that understanding to help you protect your success with an emphasis on practical solutions.  Contact us to learn how we can partner with you for your continued success.