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SEC Again Delays Variable Annuity Summary Prospectus

Once again, the SEC has delayed action on the variable annuity summary prospectus—this time, until March 2015. The SEC revealed the news, rather surreptitiously, in a submission to the Office of Management and Budget...more

9/29/2014 - Dodd-Frank OMB SEC Variable Annuities

Expect Focus - Catching The Next Wave, Regulatory and Litigation Developments - Volume II, Spring 2014

In This Issue: - IN THE SPOTLIGHT ..Private Equity: The Next Wave of SEC Enforcement Actions? - LIFE INSURANCE ..How to Fight a STOLI Scheme: Court Rulings Offer Clues ..STOA Schemes Face...more

7/22/2014 - Compliance Enforcement Enforcement Actions PBGC Private Equity Property Insurance SEC Title Insurance

New York Fines Two Major Insurers

Two recent Consent Orders issued by the New York State Department of Financial Services against major insurers appear to signal the Department’s enhanced focus on insurers’ detailed compliance with regulatory requirements....more

7/21/2014 - AXA Equitable Life Consent Order Deferred Prosecution Agreements Fines Insurers MetLife

Supreme Court Protects Whistleblowing Employees of Mutual Fund Adviser

Whistleblowing law continues to develop, with a recent U.S. Supreme Court decision holding that, despite ambiguous statutory language, the Sarbanes-Oxley Act of 2002 protects employees of private companies serving as...more

7/17/2014 - Contractors Dodd-Frank Employer Liability Issues Investment Adviser Lawson v FMR Popular Publicly-Traded Companies Sarbanes-Oxley SCOTUS SEC Whistleblowers

Florida Appellate Court Embraces Daubert Standard And Provides First In-Depth Analysis Under New Law

Last week, the Third District Court of Appeal resolved any questions concerning the applicability of the Daubert standard in Florida following the legislative changes to Florida's evidence code in July 2013. ...more

5/9/2014 - Appeals Daubert Hearing Daubert Standards Evidence Expert Testimony Jurisdiction

FINRA Shuffles Comments On Its “CARDS” Proposal

FINRA is reviewing a slew of comments on a controversial proposal to develop a comprehensive automated risk data system, nicknamed "CARDS." FINRA published the proposal on December 23, 2013, in Regulatory Notice 13-42, and...more

5/1/2014 - CARDS Tax Shelter Data Protection FINRA

Expect Focus - Volume 1, Winter 2014

In This Issue: - IN THE SPOTLIGHT ..Sixth Circuit Revisits Controversial ERISA Decision - LIFE INSURANCE ..Summary Judgment Victory for Life Insurer in Annuity Class Action ..Favorable Secondary Life Market...more

3/31/2014

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