LIMRA’s proprietary compliance and regulatory research can provide you with the insightful information you need to make the right decisions. Our ongoing and customer research projects give you the knowledge you need to effectively meet requirements.
Please take a moment to view these helpful reports:
Market Conduct/Compliance Departments Compliance Update (2006) Compliance must be an important part of the corporate culture, respected by marketing, distribution, and senior management. The report reviews the issues concerning compliance people as well as:
Records Management Current Practices and Anticipated Changes (2004) Beginning with the passage of Gramm-Leach-Bliley in 1999, the heightened interest of legislators and regulators in insurance company practices has focused attention on their document retention systems. This report explores records management practices and what dictates the method and timing of changes.
Which Side of the Advice Fence Are You On? (2006) In April 2005, the Securities and Exchange Commission (SEC) adopted a new rule that gave “teeth” to an exemption contained within the Investment Advise Act of 1940. This report explores the steps needed to be in compliance, which involved re-examining business practices and the fundamental relationship the representatives have with their clients.
We offer a number of publications on ethics and compliance. Please visit our online Bookstore to browse these offerings.
Our conferences, study groups, and committees also help you access the latest compliance news and operational practices.