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