Have you recently been through a merger or acquisition? Are you rolling out a new product? Are you trying to reduce producer renewal fees? The expert team at Kaplan Compliance Solutions offers special project assistance, both short-term and long-term. Compliance projects can be time consuming and paper intensive. We offer ongoing compliance administration so you can focus on what you do best. Our full-service LRS team can provide quality work on a project basis, such as mass appointment and termination and back office processing as a complete solution. Let our team function as your full-service licensing department.
More confident compliance starts with our end-to-end services.
Kaplan Compliance Solutions’ staff of experts can take care of all producer, field office licensing and registration activities on your behalf, including:
Licensing Services
- New state insurance licenses
- License renewals
- CE enrollment & tracking
- State license amendments
- Duplicate licenses
- Prelicensing enrollment
- Fingerprint filing
- Exam scheduling
Securities Services
- New registrations (U4 processing)
- Terminations (U5 processing)
- Firm Element tracking
- Investment Adviser filings
Appointment Services
- New state appointment filings
- Carrier appointment requests
- Termination requests
- Background investigations
Additional Services
- Database cleanup services
- Call center support
- Event notifications
- New hire processing
- Name & address changes