LIMRA Regulatory Review

Each issue of this free bimonthly newsletter addresses crucial regulatory concerns from around the world, and provides broker-dealers, investment advisers, and insurance companies with suggestions for meeting their regulatory obligations.

LRR Issue 2011-3 (July 2011)

• Examination Trends and Communications Compliance
• e-Fulfillment: Improving Compliance via e-Delivery
• SEC Proposes to Update Performance Fee Rule
• State-approved Annuity Suitability Training Confusion

LRR Issue 2011-2 (April 2011)

• What’s Next in Broker-Dealer Compensation Transparency?
• FINRA Says to Report Non-Securities Complaints
• Know Your Customer: How a New Generation of Software Helps Advisors to Identify the Right Solutions for Retirees
• ERISA Compliance: An Overview of New Challenges and Opportunities
• Life Settlements: How Long Should Investors Wait Before Purchasing Life Insurance Policies?

LRR Issue 2011-1 (February 2011)

• The Privacy Challenges of Technology
• Everything Old Is New Again…
• Encryption and Other Secret Messages
• Gifts, Gratuities, and LM-10
• Compliance Benchmarking Survey
• Disclosure Requirements for Covered Service Providers under ERISA 408(b)(2)

LRR Issue 2010-6 (December 2010)

• Many RIAs FaceMarch 31, 2011 Deadline for Updating Form ADV Part 2
• An Emerging Trend: Increased Producer Compensation Transparency
• Transaction Recommendations in Social Media
• Title 31 Chapter X Financial Crimes Enforcement Network “The Transfer and Reorganization of Bank Secrecy Act Regulations”
• Make the Case for Litigation Preparedness in Your Electronic Record

LRR Issue 2010-5 (October 2010)

How the NAIC Model Act Is Changing the Way Annuities Are Sold and Supervised

Suspicious Activity Reports: The Essence of AML Programs

"Where" - The Next Big Thing in Social Media

What is the Next for Life Settlements?

Senior Investors in 2010

LRR Issue 2010-4 (July 2010)

• Managing Changes in the Bank Secrecy Act Compliance Enviornment
• What We Can Expect in the Future
• Fingerprinting of Securities Industry Personnel
• Compliant Handling Essentials