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July 2, 2007
Best Practice: Life Lessons from BDs
These suggestions made at a recent industry meeting can improve any insurance compliance....
Federal, State Regulators Urge Insurers to Emphasize Suitability in Annuity Sales
A panel of insurance and broker-dealer regulators, attorneys and industry representatives reached the same conclusion about suitability during an industry conference: emphasize it now....
Expect More State-Federal Cooperation Say Iowa Regulator, SEC Chief Examiner
Federal securities regulators are indicating that they are far more likely now to cooperate with each other – and with state insurance commissioners – in enforcement actions involving variable products....
Web Reports Examine Customer Satisfaction, Switching Carriers
Two independent studies of auto insurance company Web sites reveal some surprising conclusions....
New York Legal Opinions Address Premiums, Conflicts of Interest, Attorneys, Claims Appeals
The New York Insurance Department has issued a number of legal opinions that address claims and property/casualty and health insurance....
Top 10 Lists of Compliance Shortcomings Can Help Insurers Avoid Market Conduct Errors
ICI has been reporting state-specific information about what triggers market conduct exams and lesser sanctions. Now, comes two Top 10 lists of general compliance violations....
Pennsylvania Urges Life Companies to Focus on Replacements; For P/C Companies, Advice is to Improve Documentation
Want to improve your life or health insurance compliance program? Pennsylvania has one word of advice for you: replacements....
Last Week in Congress: Action on Surplus Line, Medicare Advantage Plans, Diversity Initiative
Congress had insurance on its mind last week, looking at surplus lines, abusive sales of Medicare Advantage plans and diversity in the financial services industry....
Insurers Dodge Multi-Million Judgments; NJ Judge Awards $2.78 Million for Fraud Claims
Three insurers have found themselves on the winning side of recent court decisions involving insurance fraud, unfair trade practices and aftermarket auto parts....
Survey Responses Indicate Companies Assign Fraud Fighters With Too Many Non-SIU Duties

Fraud fighters are indicating that they’re being pulled in several directions within their companies, rather than being allowed to concentrate on investigations....

Notice to Readers
In keeping with our publication schedule, the next issue of Insurance Compliance Insight will be published July 16, 2007.
Rules, Regs & Bulletins July 2, 2007
A summary of recent regulatory developments and legislation....

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