Compliance & Ethics Committee:  September Agenda and August Minutes

The August minutes in the packet include the following:

  • State of California Illustrations
  • Department of Insurance “Inquiries” – Complaint Database Management
  • Best Practices Regarding “On-Site” Audits of TPAs That Operate Virtually
  • Data Governance – Artificial Intelligence – Colorado Regulation and NAIC Bulletin
  • Cash and Cash Equivalents
  • Other Pertinent Communications” – New York Claim Regulations
  • Unclaimed Property Vendors
  • Multi-Year Guaranteed Annuities (MYGA) – Notifications of Guaranteed Period End Date
  • NAIC Suitability in Annuity Transactions Model Regulation
  • Qualified Plan Endorsements – IRA and Roth IRA Plans
  • AML Practices – Free Looks