Monday, June 15, 2009


Changing regulations mean EIA compliance challenges

Annuity suitability a key issue, panelists at NAVA conference say

As new annuity rules continue to develop, chief compliance officers at broker-dealers say that they still face some challenges in implementing compliance procedures with their financial advisers.

Regulatory changes are flying fast at compliance departments, as the Financial Industry Regulatory Authority Inc. of New York and Washington and the Securities and Exchange Commission consider how they will treat insurance products — particularly equity index annuities — and expand their jurisdiction into more areas of financial planning...

Investment News: Changing regulations mean EIA compliance challenges

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