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November 13, 2017
Print Version of Nov. 13 ICI
Print this file for text of articles in the current issue....
Thrivent Wins Fiduciary Rule Court Decision
The fraternal will be able to maintain its arbitration process for resolving conflicts with its customers....
FINRA Bars Broker-Dealer for Unsuitable Annuity Recommendation, Excessive Trading
“Plundering” was the term the Financial Industry Regulatory Authority used. Here's how things went wrong....
Pending European Data Protection Rules Could Lead to Increased Risk for Insurers
The new rule could result in increased fines for, and compensation claims against, insurers and other businesses....
Insurance Regulations, Bulletins & Legislation – Nov. 13, 2017
Our exclusive roundup of recent regulatory developments and legislation....

Insurance Compliance Insight
Greenwich, NY
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