Compliance Review

Title Insurance Compliance Review

Our title insurance compliance consultants have extensive experience, having reviewed hundreds of agencies and underwriters over the last decade.

Why is a Title Insurance Compliance Review critical to your Firm?

Title Insurance Compliance Review  – The constant stream of new regulations affecting title insurance agencies, together with the trend of increasing fines and other disciplinary measures taken by regulators, has resulted in title insurance “Compliance” becoming a dominant issue for the financial services industry. The costs of compliance failures or misconduct are high; your Regulator could revoke your license, impose fines and publicize its assessment of your failings, all of which can have a negative reputational impact on your Firm.

The costs of title insurance compliance failures or misconduct are high

A Title Insurance  Compliance Review can help you identify weaknesses in your compliance systems and controls and remedy them before they become a systematic issue before you have an inspection visit from your regulator.

What would a Title Insurance Compliance Review cover?

Our title insurance compliance consultants have extensive experience in conducting Regulatory Compliance Reviews. Our review of your Firm’s compliance framework would include:

  • Reviewing your corporate governance arrangements and assessing the effectiveness in mitigating compliance risk
  • Reviewing and updating all manuals and documentation to ensure that they cover all relevant rules and regulations affecting your business
  • Identifying all relevant compliance risks and ensuring that you have a robust system of controls in place
  • Testing the implementation of your Policies and Procedures to ensure that controls are operating effectively and as intended
  • Reviewing the output and management information produced by your Firm to identify compliance risks
  • Reporting to senior management and the Board on the results of the review.

During our regulatory compliance review, if any gaps or weaknesses in your compliance framework are identified, our experienced team of compliance experts can make recommendations to improve or remediate where necessary.

What should you do now?

For a review of your title insurance compliance framework, contact our compliance consultancy team. Call us at 917.420.0333 for a free one-hour consultation or fill out the Contact Us Now form below. 

Contact Us Now

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Allen Solomon


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