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regulation

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    Business DevelopmentProduct R + D

    The Era of Best Interest Standards for Financial Professionals

    by FIG Marketing June 28, 2021
    written by FIG Marketing

    Updated on September 20, 2023, at 11:57 AM

    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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    June 28, 2021
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  • Product R + D

    What to Know: Regulatory Changes from AG 49-A & Section 7702

    by TJ Whalen April 1, 2021
    by TJ Whalen April 1, 2021

    Updated September 7, 2023, at 11:31 AM 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 …

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  • Business Development

    Replacement Model Regulation

    by Paul Van Ginhoven May 30, 2017
    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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