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 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

LRR Issue 2010-3 (May 2010)

• US: Recordkeeping Critical to Comply With Rule 2330
• US: How to Succeed as a Chief Compliance Officer
• US: Focus on FINRA RN 10-06: The Principle of Adoption in Social Media
• Canada: The Challenges and Rewards of Risk-Based Regulation
• Global: The Spirit of the Times: A Global View of Regulation

LRR Issue 2010-2 (March 2010)

• US: Effective Complaint Handling
• US: The Future of Target Date Fund Investing in Participant-Directed Retirement Plans
• Asia: Taiwan Regulatory Concern: Sales Practices
• Latin America: Insurance and Reinsurance Monopolies — Is It Really the End?
• Global: Compliance Training Programs in Asia, Latin America, and the Caribbean

LRR Issue 2010-1 (January 2010)

LRR Issue 2009-5 (November 2009)

LRR Issue 2009-4 (September 2009)