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regulation

    The Era of Best Interest Standards for Financial Professionals
    Business DevelopmentProduct R + D

    The Era of Best Interest Standards for Financial Professionals

    written by FIG Marketing

    Updated on April 8, 2022, at 3:39 PM

    We’ve experienced a lot of new things in the past year plus, haven’t we? The “new normal” is a phrase we’ve grown accustomed to in our lives. We typically hear this phrase when one is speaking about COVID-19 or COVID-related requirements. However, there’s a new normal emerging in the financial industry that we must get used to seeing. That new normal is an era of best interest regulations.

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    The Era of Best Interest Standards for Financial Professionals was last modified: April 8th, 2022 by FIG Marketing
    June 28, 2021
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  • Product R + D

    It Was the Best of Times, It Was the Worst of Times: Regulatory Changes from AG 49-A & Section 7702

    by TJ Whalen April 1, 2021

    Of course, the first part of the title is the famous first line to one of the greatest stories ever written, A Tale of Two Cities by Charles Dickens.  That opening line…

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  • Business Development

    Replacement Model Regulation

    by Paul Van Ginhoven May 30, 2017

    This month’s Compliance Corner blog entry will focus on a topic that regulators are consistently concerned about: replacements of annuity contracts. Replacements, also referred to by some as exchanges or switches, occurs…

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