Compliance & Ethics Committee: August Agenda & July Minutes

The July minutes in this packet include the following:

  • Return-to-Work and Corporate Travel Policies- COVID-19
  • Digital Sales- New York Regulation 60
  • Antedating or Backdating Policies or “Saving Age” Practices- Montana
  • Filing of HIPPA Forms
  • Returned Mail Compliance Requirements
  • Licensing of Producers to Receive Override Commissions
  • Suitability/Consumer Profile Information
  • Compliance Reports- NAIC Suitability in Annuity Transactions Model Regulation- Market Analysis Request- Annuity Report- Iowa
  • Determining Applicability of State Privacy Laws
  • AML Certificates of Training