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January 9, 2012
SEC Files Fraud Charges Against Life Settlement Firm, Three Executives
The agency is alleging that one of the largest life settlement companies in the country and its top executives underestimated the life expectancy estimates it used to price transactions....
A Note to Our Readers – Jan. 16, 2012
In keeping with our publishing schedule, the next edition of Insurance Compliance Insight will be posted to our website Jan. 23.
Print Version of Articles in Jan. 9 ICI
Print out this file for text of articles in the current issue....
Best Practice Tip: Use SEC’s New Social Media Guidance to Check Your Own Compliance Program
The SEC’s National Examination Risk Alert includes suggestions for designing reasonable procedures designed to prevent violations....
The Year Ahead: Suitability Model Compliance, Unclaimed Property Among Top 2012 Life & Annuity Issues
If there is just one thing life insurance companies should do during 2012, it’s implement the NAIC’s annuity suitability model law to the fullest extent possible, one noted regulator is advising....
The Year Ahead: Federal Insurance Office Recommendations, Dodd-Frank Implementation Are On Compliance’s 2012 Radar
The industry will be watching to see if the federal government goes beyond mere interest in insurance regulation and takes a more pronounced role in the oversight of the industry....
SEC Changes Stance on ‘Neither Admit Nor Deny’
The SEC will no longer allow some defendants to say they neither admit nor deny civil fraud or insider trading charges....
New Regulators in Place in Three States
Illinois has appointed another acting director of insurance, while California and Montana have added new deputy directors.
Insurance Regulations, Bulletins & Legislation – Jan. 9, 2012
Our roundup of recent regulatory developments and legislation....

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