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Principal Financial Group | Regulatory & Compliance

Stay up-to-date on the latest information about complying with recent state and federal regulations.

Compliance Education Platform

Satisfy all your compliance needs in one place.

Regulatory

Clarify today’s confusing best interest and fiduciary environment.

Washington Update

Access resources for understanding the strategic implications of government actions.

FraudSource

Access the latest information, research, training programs, and software for fraud prevention.

On-Demand Webinars

Looking Ahead to Best Interest Standards for Life and Annuity Sales

1/15/2019, 12 - 1 p.m. EST

This webinar, the first of two parts, will discuss the new “best interest" standard and related supervision requirements for insurers and intermediaries operating in New York under Amendment No. 1 to New York Insurance Regulation 187.

Looking Ahead to Best Interest Standards for Life and Annuity Sales - Part II

2/20/2019, 12 - 1 p.m. EST

This webinar, the second of two parts, will expand the discussion of enhanced standards of care and related supervision requirements emerging at the state and federal levels.

Regulatory and Legislative Trends Impacting the U.S. Retirement System

4/16/2019, 12 - 1 p.m.

Recent guidance from the Department of Labor and Internal Revenue Service as well as potential legislation have the potential to profoundly change the retirement system in the coming years.

SEC's Regulation Best Interest and RIA Interpretation: Impact on Plans, Participants and Rollovers

6/6/2019, 12 - 1 p.m. EDT

The SEC's proposed Best Interest Regulation applies to recommendations to participants, including rollovers, but apparently does not apply to advice to plans.

Recognizing and Helping to Prevent Financial Exploitation of Seniors

9/5/2018, 12 - 12:45 p.m.

As the U.S. population ages, the financial abuse of seniors and vulnerable adults has become an increasingly important consumer and compliance issue.

Evolving Standards of Conduct - Legal and Operational Challenges

5/24/2018, 12 - 1 p.m.

Join us on a report examining the potential legal and operational challenges of meeting new standards of conduct for financial intermediaries.

Legislative and Regulatory Trends in the Insurance Industry

4/25/2018, 12 - 1 p.m.

Join us for a report from leading experts on major US insurance regulatory and transactional topics for 2018 that will also bear on the direction of the industry.

Industry News2Use

Industry news2use

This semi-weekly newsletter showcases important global financial services industry updates and links to related LIMRA and LOMA resources. Please subscribe to receive Industry news2use in your inbox on Tuesdays and Thursdays.

Featured Conference

2019 LIMRA Annual Conference

10/27/2019 - 10/29/2019

Our program will feature forward-thinking executives from diverse industries who will discuss key strategies in areas that will influence the future of our industry and the markets we serve.

Agenda

Featured Publications

SRI® Review

Gain actionable insights you won’t find anywhere else. LIMRA experts and industry leaders provide fresh perspectives on the retirement market, including consumers, products, distribution, technology, and domestic global trends.

Industry news2use

This semi-weekly newsletter showcases important global financial services industry updates and links to related LIMRA and LOMA resources. Please subscribe to receive Industry news2use in your inbox on Tuesdays and Thursdays.

Your Contact at LIMRA

Faye W. Williamson

Member Relations Director

Work Phone: (860) 285-7826

fwilliamson@limra.com

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