Compliance Oversight Resources:
CEFLI offers the following Compliance Oversight resources. Since Member Companies have different product offerings, distribution channels, risk tolerances, business controls, past market conduct examination experience, and are subject to the unique regulations in each state of operation, each Member Company should consider the compliance oversight elements that may be appropriate for their unique business model. Member Companies should alter and/or supplement content from this module in a manner that is appropriate for their circumstances.
The following materials do not constitute legal advice. Questions or comments regarding the materials may be directed to: CarlaStrauch@CEFLI.org.
Replacements – NAIC Model Regulation
CEFLI offers the following Compliance Oversight resource materials on the NAIC Life Insurance and Annuities Replacement Model Regulation. The information is as-of February 2021.