N.H. Admin. Code § Ins 3205.01
Current through Register No. 50, December 12, 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.
N.H. Admin. Code § Ins 3205.01
#7064, eff 7-24-99