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1
Investment-Related Initiatives From The NAIC Meeting Of August 4, 2019
The National Association of Insurance Commissioners ("NAIC") held its most recent national meeting from August 3-6, 2019 in New York City
United States
27 Aug 2019
2
Clayton Comes Out Swinging Against Critics Of Regulation Best Interest
In a speech on July 8, 2019, SEC Chair Jay Clayton responded to criticism of Regulation Best Interest, setting out his arguments in a concise, step-by-step rebuttal.
United States
6 Aug 2019
3
Insurance Company Buyers Of Structured Notes Should Consider Proposed NAIC Amendments
The NAIC Valuation of Securities (E) Task Force will have its first opportunity to consider the SVO's recommendation at its meeting on August 4, 2019.
United States
6 Aug 2019
4
Reminder: The EU Prospectus Regulation Is Effective – Key Legal Facts
The minimum content requirements for issuer and securities disclosures remain essentially unchanged.
European Union
6 Aug 2019
5
FINRA Sanctions A Brokerage For Failure To Reasonably Supervise Securities Transactions
FINRA found that Dealer received but did not review the alerts.
United States
6 Aug 2019
6
FINRA Increases Margin Requirements For ETNs And Options On ETNs
Debt securities, which include ETNs, are margin securities.
United States
6 Aug 2019
7
FDIC Eases Requirements On Deposit Tracking
FDIC has detailed rules relating to account identification and recordkeeping in order to facilitate the determination of who is entitled to FDIC insurance payments in the event of the failure of an insured institution.
United States
5 Aug 2019
8
Brokerage Firm Granted Summary Judgment In Reverse Convertible Notes Class Action
On July 11, 2019, the U.S. District Court for the District of Minnesota granted a brokerage firm motion for summary judgment in a class action filed by customers alleging the loss of approximately $1.1 million ...
United States
5 Aug 2019
9
FINRA Reminds Firms Of Their TRACE Reporting Obligations
FINRA recently issued a Trade Reporting Notice to remind firms they must report any transaction in a "TRACE-Eligible Security" unless an exception applies.
United States
5 Aug 2019
10
The SEC Adds Its Voice To The LIBOR Chorus
In a public statement dated July 12, 2019, the SEC's Divisions of Corporation Finance, Investment Management and Trading and Markets, and the Office of the Chief Accountant, encouraged market participants ...
United States
5 Aug 2019
11
Acquiring Ownership: Considerations In Acquiring A "Controlling" Interest In A US Insurance Company
Investing in a US insurance company presents unique concerns to any investor. This is particularly the case if such an investment would result in the investor becoming a "control" person
United States
25 Jul 2019
12
SEC Issues Concept Release On Harmonization Of Securities Offering Exemptions
On June 18, 2019, the US Securities and Exchange Commission (SEC) issued a concept release1 soliciting "
United States
16 Jul 2019
13
Breaking Down Blockchain: Implications Of Blockchain Technology For The Insurance Industry
As the decade comes to a close, new technologies are having a major impact on how insurance industry participants conduct their operations – especially how they collect,
United States
8 Jul 2019
14
States Begin Adopting Insurance Cybersecurity Requirements
Bylined article by Insurance Regulatory partner Lawrence Hamilton (Chicago), Financial Services Regulatory & Enforcement partners Jeffrey Taft and Matthew Bisanz (both Washington, DC).
United States
25 Apr 2019
15
An Unconventional Circular Letter: NYDFS Provides The Nation's First Directive On The Proper Use Of Unconventional And Alternative Data
Last month, the New York State Department of Financial Services became the first US regulator to impose specific, substantive requirements on the use of "unconventional sources or types of external data" in financial services.
United States
20 Feb 2019
16
Finding Common Ground – Recent Developments In International Group Supervision
As with many industries, the insurance sector has become increasingly more complex and internationally connected over the past decade.
United States
19 Feb 2019
17
Keeping It Private: GDPR And Developments In Data Privacy In 2018
By any measure, 2018 was a major year for data privacy regulation. The most significant regulatory development in this area was the European Union's General Data Privacy Regulation ("GDPR") ...
European Union
29 Jan 2019
18
Eyeing AI: Artificial Intelligence And Its Increasing Impact On The Insurance Industry
The use of artificial intelligence ("AI"), which may be defined as the development of computer systems able to perform tasks normally associated with human intelligence ...
United States
15 Jan 2019
19
SEC Is Serious About "Equal Prominence" Rule In Presentation Of Non-GAAP Financial Measures In Earnings Releases
The US Securities and Exchange Commission (SEC) recently gave a strong reminder of the importance of providing equal ...
United States
14 Jan 2019
20
10 Tips For 10-Ks And Proxy Statements
With preparations shifting into high gear for calendar-year companies that file annual reports on Form 10-K and proxy statements with the US SEC, here are tips to consider when drafting these documents.
United States
9 Jan 2019
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