Skip to content

Certificate in Regulatory Compliance Essentials

Compliance is one of the most critical issues facing insurers today, as it affects all operational areas of an insurance company, such as marketing, sales, underwriting, actuarial, claims, accounting, investments, and customer service. The Certificate in Regulatory Compliance Essentials provides an overview of compliance in the insurance industry and helps employees understand the regulatory environment in which insurance companies operate.


Learners must complete two courses to earn the Certificate in Regulatory Compliance Essentials. While completing the courses, you will:

  • Distinguish between federal and state authority with respect to regulating the U.S. life insurance industry
  • Become familiar with compliance concepts, terms, and processes
  • Recognize the purposes and requirements of major laws and regulations governing the insurance industry and various insurance products
  • Earn course credits toward the Associate, Insurance Regulatory Compliance (AIRC) designation

The courses required to earn the certificate are also the two capstone courses in our Associate, Insurance Regulatory Compliance (AIRC) designation. See the AIRC brochure to learn more about the AIRC designation!


  • Introduction to Compliance
  • State and Federal Regulations and Requirements
  • Regulation of Life Insurance and Health Insurance Products
  • Regulation of Annuities and Retirement Products
  • Advertising and Disclosure Requirements

Program Roadmap


Certificate in Regulatory Compliance Essentials

Core Course Requirements: 2 course(s)

Show/Hide All

Course Credit Note

Learners may not apply existing credit for AIRC 410 or AIRC 420 toward earning the Certificate. Our Contact Center representatives are available to help explain your options. Call us at 1-800-ASK-LOMA (Option 1).


Certificate in Regulatory Compliance Essentials

To earn the certificate, learners must complete both AIRC 411 and AIRC 421.