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February 28, 2022
Print Version of Feb. 28, 2022 ICI
Print this file for text of articles in the current issue....
Best Practice Tip: Take A Comprehensive Approach to SARs, AML
The advice comes in the wake of sanctions against a former AML compliance officer and a $55.4 million penalty for repeated AML failures....
AML, Cyber, Variable Annuities Remain on FINRA Watch List
They are among the issues highlighted in the regulator’s annual report about exam and risk management priorities....
FINRA Sanctions Five B-D Reps for Annuity Improprieties
Two have been permanently barred from the industry....
Insurance Regulations, Bulletins & Legislation – Feb. 28, 2022
Our exclusive roundup of recent regulatory developments, legislation and other news of interest....
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