Preparing IT for an Upcoming Regulator Examination/Audit

2 CPE Credits Live webinar All Lines Information Technology Advanced Audit / Exam

What This Course Covers

Department of Insurance examinations increasingly look beyond accounting outputs to the systems, data flows, controls, and governance that produce those numbers. IT and data teams may therefore be directly involved in regulatory requests and explanations.

This course focuses on preparing IT for that scrutiny: determining what may be in scope, explaining data lineage and controls clearly, and preparing documentation that aligns with regulatory expectations without over-engineering the response.

Who Should Attend

IT leaders and managers supporting insurance companies
Data, systems, and reporting teams responsible for supporting regulatory examinations
IT professionals with insurance systems or controls experience preparing for regulatory examination responsibilities
Accounting and finance leaders coordinating examination responses with IT

What You'll Be Able to Do

Upon completion of this course, you will be able to:

Evaluate how DOI examiners assess systems, data flows, controls, and governance
Determine which systems and data flows are likely to be in scope for regulatory review
Explain data lineage, controls, and governance clearly to examiners
Prepare IT documentation that aligns with regulatory expectations

How This Helps You on the Job

Examination issues can arise because IT teams are unprepared to explain systems in regulatory terms, even when the systems themselves are sound. Over-sharing, inconsistent explanations, and unclear ownership can turn routine questions into larger issues.

This course helps IT and accounting teams coordinate their responses so systems, data, controls, and documentation can be explained consistently during an examination.

What to Expect After Registration

You will receive a confirmation email after registering, along with email reminders one day and one hour before the course.

If you do not receive your confirmation or reminder emails, please check your spam folder. If they are not there, contact us for assistance at academy@arcstrategicservices.com or (239) 421-5300. You may also contact us for any concerns or complaints.

Please see our refund and cancellation policy for additional information.

National Registry Statement

TAC4 Solutions LLC dba ARC Academy is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.NASBARegistry.org.

National Registry of CPE Sponsors

Certificate Requirements

The following requirements must be met to receive a CPE certificate for this course:

Attend the webinar

Answer 5 polls

Click on > 80% of attendance monitor pop-ups

Please contact us if you have any questions or believe there is an error.

Topics Covered

How DOI examinations approach IT and systems
Common examiner questions directed at IT teams
Data lineage, interfaces, and system dependencies
IT general controls vs. business controls
Documentation regulators expect to see
Common IT-related examination findings and responses

Prerequisites: Experience supporting insurance systems, data, controls, or regulatory reporting recommended. Prior regulatory examination experience is not required.

Advance Preparation: None

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