Compliance & Ethics Committee:  October Agenda and September Minutes

The September minutes in the packet include the following:

  • Death Claims Arising Out of Maui Fires
  • Assignment of Commissions and Agent Licensing
  • Strategies to Comply with the Requirements of NYDFS Circular Letter #6 (2023)
  • Authorization to Discuss Customer Account Information with a Third Party
  • Iowa Indexed Annuity Product Training
  • Vendor Solutions to Address and Curtail Account Takeover Activity
  • Suitability Reviews of Internal Replacements
  • Authentication of Electronic Signatures
  • Policyholder Service Requests Using Voice Signatures
  • Oregon Transmittal and Standards for Life and Annuity Advertisements
  • Illinois Informational Filing – In-Force Universal Life Policies – 50 IL Admin. Code tit. § 1411.50
  • PBI/MOVEit Breach – Social Security Death Master File
  • Requests for Information – Life Settlement Companies
  • MCAS Reporting – “Replacement” Annuity Transactions
  • Complaints – Policies and Procedures
  • Record Keeping – Phone Call Recordings