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LOMA Business Risk &
Controls Manual
Table of Contents
Administrative, Executive & Human Resources
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Contracted Services |
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Employee Benefits |
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Insurance Coverage |
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Payroll |
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Postage and Express Charges |
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Purchasing |
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Travel, Entertainment and Convention Expenses |
Distribution & Marketing
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Advertising Media and Corporate Image |
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Advertising Sales Materials |
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Agencies Expense Allowances |
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Agencies General Agent |
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Agencies General Agent Business Accounts |
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Agent Balances |
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Agent Licensing and Appointments |
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Commissions Group |
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Commissions Individual |
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Field Sales Locations Sales Activities |
Finance & Valuation
Financial Accounting, Reporting and
Analysis
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1099 Reporting Information Returns |
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Accounts Payable |
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Bank Reconciliations |
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Deferred Acquisition Costs |
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Escheat Procedures |
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Master File Changes Interested Credited Annuities |
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Suspense Accounts |
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Third Party Administrators Compensation |
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Third Party Administrators Systems |
Financial Risk Management
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Asset Liability Matching |
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Derivatives |
Investments and Investment Accounting
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Bond Interest and Stock Dividend Income |
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Construction Projects |
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Hotels |
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Income Producing Properties |
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Mortgage Backed Securities |
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Mortgage Loans |
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Mortgage Loan Urban Correspondents |
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Private Placement Bonds |
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Real Estate Equities Valuation |
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Real Estate Purchases Individual Properties |
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Real Estate Sales Individual Properties |
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Real Estate Sales Portfolio |
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Securities |
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Securities Lending |
Reserving
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Reserve Reporting Policy Reserves |
Treasury
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Anti-Money Laundering |
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Banking Relations |
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Check Stock |
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Wire Transfers |
Insurance Administration
Disbursements
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Annuities Benefits and Disbursements |
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Annuities Commissions |
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Cash Surrenders Life |
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Death Claims |
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Disability Claims |
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Disbursements Pension Products |
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Group Health Claims |
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Maturity Payments |
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Policy Dividends Life |
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Policy Loans |
Policy Issue
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Annuities New Business/Deposits Cycle |
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Pension Products |
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Universal Life Individual |
Policy Maintenance
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Master File Changes Non-financial Annuities |
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Policy Confirmations Life |
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Policy Maintenance - Health, LTC, Disability |
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Policy Maintenance - Pension Products |
Premium Accounting
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Master File Changes Financial Annuities |
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Premium Accounting Health, LTC, Disability |
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Premium Accounting Pension Products |
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Premiums Paid in Advance Life |
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Premiums Pre-authorized Checks |
Reinsurance
Underwriting
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Medical Fee Payments |
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New Business Underwriting Life |
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Underwriting Health, LTC, Disability |
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Underwriting Pension Products |
Regulatory & Legal
Market Conduct
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Agent Screening |
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Customer Complaints |
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Replacements |
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Sales Illustrations |
Securities/Variable Products
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Financial Futures |
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Insider Trading |
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Mutual Fund Sales |
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