Insurance Regulatory & Compliance Solutions


Insurance companies and their service partners face challenges from customers, regulators and service providers. Assessing compliance needs and risks and handling disputes when they arise require counsel who know the industry, regulatory framework, products and services, and distribution channels. Our nationally recognized insurance practice provides counsel to insurers, reinsurers, producers and other business organizations.

From regulatory and transactional matters to complex litigation, we help clients navigate the regulatory landscape and keep their business compliant. Our industry relationships and experience enable us to partner with clients to create successful, cost-effective and sustainable business and compliance strategies.

Insurance Regulatory & Compliance Solutions

Our team provides strategic advice on all aspects of the insurance business, including transactions, restructurings, product design and distribution, market conduct, underwriting, claims handling and financial analysis. Our deep experience in the heavily regulated industry enables us to quickly interpret and analyze critical market segments, including financial lines, life and annuities, managed care and health care, long-term care, property/casualty, director & officer, errors & omissions, professional liability, fidelity/surety, reinsurance, and other specialty lines. 

OUR Service Offerings & Capabilities

For Insurers & Reinsurers

Our regulatory service offerings routinely include:

  • providing strategic advice and obtaining approvals for new licenses; changes in control; Form D subject matter; rate and policy form filings; investments and financial transactions
  • ensuring holding company act and related regulatory compliance
  • building effective compliance programs
  • developing products and claims handling procedures
  • conducting internal investigations on director & officer affairs, sales practices, and underwriting and claim handling issues
  • responding to regulatory and governmental inquiries, enforcement actions and resultant litigation
  • providing advisory and litigation services relating to insurance company receiverships or supervision, or insurer claims and defense in insureds’ bankruptcies
For Producers/MGAs/Brokers
We provide advice to producer groups on transactional and related licensing issues. On market conduct matters, we offer advice and interface with regulators. Our attorneys analyze surplus lines and other taxation issues, and provide general counsel across the gamut of issues facing intermediaries.

For Insurance Receivers & Creditors
Stradley Ronon has broad experience handling legal matters both for and against insurance receivers and guaranty associations. We have counseled liquidators in numerous estates, including providing technical advice and asset-collection services, as well as defending
liquidators’ objections to claim determinations and prosecuting D&O and professional liability actions. Our attorneys routinely provide litigation mitigation strategies to troubled companies working through runoff and supervision plans. We also regularly counsel insurers, reinsurers and other business clients with claims against insolvent or otherwise troubled insurers or reinsurers.


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