New Hampshire Code of Administrative Rules
Ins - Commissioner, Insurance Department
Chapter Ins 3200 - SALES OF INSURANCE BY FINANCIAL INSTITUTIONS
Part Ins 3205 - COMPLIANCE, ENFORCEMENT AND PENALTY PROVISIONS
Section Ins 3205.01 - Compliance
Universal Citation: NH Admin Rules Ins 3205.01
Current through Register No. 40, October 3, 2024
Financial institutions shall develop and implement policies and procedures to ensure that sales activities are conducted in compliance with applicable laws and rules and in a manner consistent with this chapter. Compliance procedures shall identify potential conflicts of interest and how conflicts shall be addressed. The compliance procedures shall also provide for a system to monitor customer complaints and their resolution. The compliance function shall be conducted independently of insurance and annuity product sales and management activities.
#7064, eff 7-24-99
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