The Value of a Compliance Self-Assessment for Insurance Advisors

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You might be asking yourself, “why should I spend time on compliance for my practice”? Well, we know that compliance tends to get a bad rap because it is often associated with laws, regulations, enforcement actions, and penalties for those who do not follow the rules. It also takes valuable time, effort,  and resources from […]

Your Four Obligations under NAIC’s “Best Interest” Model Regulation

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Editorial Note: Please note that information in this blog is not meant to address all aspects of the Model Regulation, or any variations in individual state laws or regulations, and should not be considered legal advice. View additional resources, including an FAQ for the Best Interest Model Regulation on DMI’s My Back Office. In February […]