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October 21, 2013
Print Version of Articles in Oct. 21 ICI
Print this file for text of articles in the current issue....
Best Practice Tip: Review Suitability Best Practices in New FINRA Notice
New guidance from the Financial Industry Regulatory Authority is highlighting how many broker-dealers are adjusting to its revised suitability rule....
SEC Signals It Will be Tougher On Company, Executive Misconduct
SEC chief says there will be less wriggle room in enforcement actions where there is a special need for public accountability and acceptance of responsibility....
New Jersey Court Makes It Easier to Go After Suspected Fraud
Court says crooks sued under the Fraud Prevention Act don't have a right to a jury trial, which should make explaining complex fraud easier....
Alabama Construction Defect Court Decision Rests on Whether Damage Was Caused by Occurrence
The insurer won this case, but under other circumstances, the ruling could just have easily have gone the other way....
Language of the Policy is Critical Element in Bad Faith Court Decision
The case, attorneys says, shows the potential impact of drafting the insurance policy to not require payment until certain conditions are met....
Prudential Prepared to Go Along with SIFI Designation
MetLife is probably the next in line to address a non-bank SIFI designation....
International Regulators Seek Comments About ComFrame Proposal
The proposal would regulate large international insurance groups....
New Michigan Commissioner Has Impressive Insurance Background
Ann Flood, the current deputy commissioner, has also worked in the industry....
Insurance Regulations, Bulletins & Legislation – Oct. 21, 2013
Our exclusive roundup of recent regulatory developments and legislation....

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