SOFE NAIC Breakfast Seminar Series Event:

Sunday, December 11, 2016
7:00 AM – 9:00 AM
The Fontainebleau Hotel, Miami Beach, FL

Topic: Collaborative Examinations with Market Regulation Risk Assessments

Seminar description: Steve Guest and Shelly Schuman of The INS Companies will discuss their experiences to incorporate a market regulation component to the financial risk assessment examination process. They will share about the successful inclusion of a market conduct review as part of a comprehensive examination. Steve and Shelly will also provide real life examples of the successes and bumps encountered while adding market regulation specialists to the examination.


Shelly Schuman, AMCM, AIE, FLMI, HIA, ACS, Deputy Director of Market Regulation for The INS Companies. Shelly served the NAIC for nine (9) years before joining The INS Companies in 2006. Shelly brings an expert level of knowledge regarding the insurance industry and state regulation to the market conduct management team. Most recently, Shelly has been a forerunner in the area of collaboration between financial and market regulation. During her tenure at the NAIC, she supported development of national market analysis concepts, market conduct examination procedures, multi-state examinations, and the systems to collect and share information about regulatory actions and complaints. Shelly has been a presenter at many IRES meetings and conducted many training sessions for the states, addressing various reform initiatives. In addition to her years of experience at the NAIC, Ms. Schuman also worked for the industry in various capacities for more than fifteen (15) years.

Steve Guest, CFE, CPA, ACI, Delaware Department of Insurance, Supervising Insurance Examiner, Financial Examinations. Steve has worked in insurance regulation and been a member of SOFE since 1986. Steve has worked with the Delaware DOI as a Financial Examination Supervisor since 1996, working across the broad range of insurance industry company types within the Department, participating in and supervising DE financial examinations, target examinations, NAIC Lead State Examinations, rehabilitations, and liquidations of insurance companies. Prior to working with the DE DOI since 1993, Steve was proud to work with the Texas Department of Insurance. Steve has had both the privilege and pleasure to present lectures and training to DOI's and SOFE CDS' over the years and looks forward to presenting with Shelly regarding the coordination and integration of risk focused Market Regulation examination components into a DOI financial examination.

Presented by SOFE and IRES. Details and registration information under “Seminar at Fall 2016 NAIC Meeting” at this link.

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