A New Era in Compliance & Ethics…

Providing an inside look into FINRA’s 2014 Exam Priorities and what state insurance examiners are currently finding.

As we get started with a new year, many Compliance professionals try to anticipate the topics which will be targeted by regulators as well as some of the industry issues which are being identified by regulators.  In CEFLI’s most recent webinar, both of these issues were covered by FINRA and the Wisconsin Office of the Commissioner of Insurance.  Regulators identified such key issues as… 

New insights regarding the potential use of suitability standards provided.

CEFLI continued its role as a leading, non-advocacy organization by bringing together regulatory and industry representatives to discuss current marketplace challenges at the recent CEFLI Life & Annuity Marketplace Summit Meeting in Des Moines, Iowa.

This unique Forum offered an opportunity for representatives of over 50 life insurance companies to engage in direct, informal dialogue with regulators from several state insurance departments to hear...

CEFLI teams with Deloitte & Touche LLP to present webinar addressing questions regarding Records Management.

As part of CEFLI’s Educational Webinar Series, CEFLI will at times turn to the expertise of its Affiliate Members to address specific topics raised by its life insurance company members.  One topic that has generated a lot of discussion is…Records Management.  Specifically, there has been some discussion regarding efficient and effective ways to implement a records management program and what would be considered as leading practices as a company looks to…