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March 8, 2021
Print Version of March 8, 2021 ICI
Print this file for text of articles in the current issue....
New York Life Affiliate Fined for Annuity Replacement Violations
It will pay nearly $11 million in fines and restitution....
New York Issues $1.5 Million Fine for Cybersecurity Lapses
It involved a breach not reported, and mistakes aplenty....
FINRA Fines Broker-Dealer $150,000 for AML Program Failures
Actinver Securities didn’t capture essential customer information, ignored obvious red flags, didn’t tailor its AML program to the risks....
Insurance Regulations, Bulletins & Legislation – March 8, 2021
Our exclusive roundup of recent regulatory developments, legislation and other news of interest....