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January 6, 2014
Print Version of Articles in Jan. 6 ICI
Print this file for text of articles in the current issue....
Best Practice Tip: Advertising & Sales Errors to Avoid
“We encourage that these tips be kept in mind as companies create marketing material and campaigns,” a noted compliance expert advises....
Suitability at Top of FINRA’s Regulatory, Exam Priorities
Other priorities include sales to seniors, producers with market conduct issues in their past and ever-present cyber threats....
GAO Slams Social Security Administration for Inaccurate Death Data
“The SSA receives death reports from a number of sources, but its procedures for handling them allow for erroneous, incomplete and delayed death information,” the report concluded....
Hold These Dates: 2014 Compliance Meetings & Conferences to Have on Your Calendar
These organizations have announced industry meetings for this year...
Insurance Regulations, Bulletins & Legislation – Jan. 6, 2014
Our exclusive roundup of recent regulatory developments and legislation....