Compliance Material

In order to streamline the compliance review process with our brokerage partners as well as broker-dealers, LSInsights has standardized a Due Diligence Package that can be provided to firms that qualify and sign a Confidentiality Agreement. The package includes:

Company Background
Corporate Overview
Life Settlement Market
Management Team
Professional Advisors

Producer Program
Executive Overview
Program Brochure
Agency Profile
Non-Disclosure Affidavit
Producer Agreement
E&O Coverage FAQst

Transaction Process
Transaction Overview
Life Settlement Process Overview
Privacy & Confidentiality Policy
Request for Quotation Form
Detailed Quotation Process Map
FAQs by Policy Sellers

Compliance & Licensing
Executive Overview
State Regulation & Licenses
Applicability of State Regulations to LifeX
LSI Anti-Fraud Plan
LSI E&O Policy
NAIC Model Act
NCOIL Model Act
State Securities Department No Action Letters

Institutional Funding
Executive Overview (Customized to meet the needs and requirements of each program)
Customization - TBD

Appendix: Supplemental Information
2006 Life Settlement Industry Outlook
Bernstein Research Call
Wharton Study
LSInsights National Underwriter Cover Story
LSInsights Computerworld
LSI Brochure
LifeX Brochure