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8.5 Regulatory Checklist

Checklist from NYL Objections​

Review New York Life's recent Individual Whole Life filings to the Insurance Compact. Create a checklist of compliance items based on past objections.

For each:

  • Reword the objection into a checklist item
  • Include date of objection and SERFF Tracking ID

Checklist from Guardian Life Objections​

Based on Guardian Life's last 10 Individual Whole Life filings, generate a checklist of common regulatory objections.

For each checklist item:

  • Reword the objection into an internal guidance item
  • Provide the date of the original objection and the related SERFF Tracking ID

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