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February 8, 2010
In keeping with our publication schedule, the next issue of Insurance Compliance Insight will be sent Feb. 22.
Print Version of All Articles in Feb. 8 ICI
Print out this file for text of articles in the current issue....
Best Practice Tip: Use FINRA Regulatory Notice as Guidance for Insurer Social Media Policies
Insurance companies that are drafting social media policies and procedures may be able to take a few hints from new FINRA guidance....
Nationwide Pays $2.1 Million Fine for Alleged Unsuitable Annuity Sales ...
Two Nationwide life insurance affiliates are paying five states $2.1 million to settle allegations of unsuitable variable annuity sales....
... As FINRA’s New Deferred Variable Annuity Rule Takes Effect
A new consolidated broker-dealer rule now in effect will govern the recommended purchases and exchanges of deferred variable annuities and recommended initial subaccount allocations....
New York Fines Aetna for Improper Notices
New York has fined an Aetna HMO $750,000 for failing to properly administer its role in the Healthy New York program....
Penalties Assessed for Inadequate AML Programs
Lousy anti-money laundering programs have led to a $750,000 fine....
Rules, Regs & Bulletins Feb. 8, 2010
A summary of recent regulatory developments and legislation....

Insurance Compliance Insight
Greenwich, NY
(518) 512-0175