Regulatory Counseling and Representation

Reardon Scanlon’s attorneys have experience successfully representing insurance and financial services clients in regulatory proceedings before insurance and banking regulators. We are able to navigate through complex and novel issues impacting existing and proposed regulations by applying our experience, and seeking the cooperation and further guidance of regulatory representatives.  These matters include the following: 

• Represented life insurance companies concerning regulatory compliance and filings with state departments of insurance; 
• Represented auto insurer concerning rate filing compliance issues;
• Represented insurance companies in market conduct investigations involving annuity products, distribution, sales, and general business’ practices;
• Represented insurance broker seeking opinion concerning commissions arising out of multi-party business.

Our regulatory experience also includes representing financial services clients before the Connecticut Department of Banking, including these matters:

• Represented individuals and limited partnerships in defense of order to cease and desist arising out of sale of limited partnership interests.
• Represented auto financing entity in proceeding concerning Department’s effort to revoke license.