Market Conduct Exams - A Fundamental Review of What State Regulators will be Examining (1:00 - 2:30 PM EST)

February 11, 2014

John Kitslaar - Wisconsin Office of Commissioner of Insurance
Larry Kosciulek - FINRA
Kathleen Pettit - John Hancock

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 product suitability, sales to seniors and...

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