Compliance & Licensing

The ESI Compliance Alliance is a quarterly publication that summarizes industry news and/or regulatory events that may impact our business. The Compliance Alliance focuses…

It is with mixed emotion that I announce Scott Solod, our Chief Compliance Officer (CCO), has decided to pursue his career outside of National Life…

Effective January 1, 2022, certain states have adopted rules requiring continuing education (“CE”) for Investment Adviser Representatives (“IAR’s”) registered in their jurisdiction. The states…

In a previous communication, “What Does It Mean To Be A Fiduciary?”, under the latest change in the Department of Labor’s (DOL) interpretation of…

ESI Written Supervisory Procedures Update ESI continually reviews its Written Supervisory Procedures (“WSP”) in accordance with regulatory and business requirements.  Effective January 31, 2022,…

Due to new interpretations of its regulations by the Department of Labor (“DOL”), additional disclosure is now required for many retirement accounts effective January…