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April 4, 2011
Print Version of Articles in April 4 ICI
Print out this file for text of articles in the current issue....
Best Practice Tip: Learn from Lax AML Attitude at Expelled Broker-Dealer
AIS Financial was fined $40,000 and expelled by the Financial Industry Regulatory Authority after the regulator found it ignored prominent red flags and “blatant suspicious activity” for more than two years....
Washington State Enforcement Actions Include Fines, Cease-and-Desist Order
The actions involve six insurance companies or groups, as well as a Christian organization which has been told to stop offering unauthorized insurance....
Texas Insurer Adds Benefits to Policies in Race-Based Sales Settlement
Texas Imperial never sold the policies in question. Instead, they were sold by insurers that it later acquired....
Help Wanted – April 4, 2011
Jobs are being offered, jobs are being sought....
Insurance Regulations, Bulletins & Legislation – April 4, 2011
Our summary of recent regulatory developments and legislation....
Insurance Compliance Insight
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