Administrative Agency Securities Insurance

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CMS Requests Input on Health Plan Innovation Initiatives

Medicare Advantage (“MA”) plans, prescription drug plans (“PDPs”), and other stakeholders have until November 3, 2014, to provide input into the Centers for Medicare & Medicaid Services’ (“CMS’s”) consideration of potential...more

New York Trial Court Holds that Administrative Orders Do Not Constitute "Final Adjudications"

New York Trial Court Holds that Administrative Orders Do Not Constitute “Final Adjudications” For Purposes of Applying Fraud/Dishonesty Exclusion in Professional Liability Policy - A recent New York trial court...more

Deferral of the Swaps Push-Out Requirement, But Only for Insured Federal Depository Institutions

An insured federal depository institution may request a transition period to comply with the “push-out” requirements of section 716 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”)...more

The End of Unlimited FDIC Insurance: How Banks Can Retain—and Depositors Can Protect—Their Uninsured Deposits

In an attempt to limit the flight of deposits from insured depository institutions resulting from the 2008 fiscal crisis, Section 343 of the Dodd-Frank Wall Street Reform and Consumer Protection Act provided temporary,...more

Dodd-Frank Implementation: Navigating the Road Ahead

Table of Contents: Introduction; Financial Stability Reform; Resolution Planning; Agencies and Agency Oversight Reform; Securitization Reform; Derivatives Regulation; Investor Protection Reform; Credit Rating Agency...more

The European Commission Adopts AIFMD Implementing Regulation

On 19 December 2012, the European Commission (the Commission) adopted implementing rules (the Regulation) for the Directive on Alternative Investment Fund Managers (the AIFMD or Directive). The Regulation supplements certain...more

The Sixth Circuit Upholds the Northern District of Ohio’s Decision Potentially Limiting Policyholders’ Ability to Seek Excess...

Introduction - In a recent decision, the Sixth Circuit upheld a Northern District of Ohio decision rejecting the long-held rule that a policyholder’s settlement with an underlying insurer for less than full policy limits...more

OCC Retail Foreign Exchange Proposed Rule

On October 31, the OCC proposed to amend its retail foreign exchange rule for transactions with collective investment funds and insurance company separate accounts by treating them as if they were not retail customers under...more

Mutual Fund Litigation and Insurance Practice Guide

In the wake of the subprime mortgage meltdown and ensuing global credit crisis, the SEC is more devoted than ever before to examination and enforcement efforts directed at the mutual fund industry. The class action bar also...more

Prudential Regulators Re-Open Comment Period for Proposed Capital and Margin Requirements

On September 26, the “Prudential Regulators,” which are, collectively, the Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, the Farm...more

Joint Forum Finalizes Guidelines on Supervision of Financial Conglomerates

On September 24, the Joint Forum, which brings together the Basel Committee on Banking Supervision, the International Organization of Securities Commissions, and the International Association of Insurance Supervisors to...more

Protecting Your Bottom Line from the Cost of National Association of Securities Dealers and FINRA Investigations

When self-regulatory organizations (“SRO”), such as the Financial Industry Regulatory Authority (“FINRA”), commence an investigation or proceeding, member firms are typically concerned with the financial impact that both the...more

Insurance Holding Company Act Amendments of 2012

During the 2008-09 global financial crisis, no major U.S. insurance company became insolvent. However, the mammoth AIG empire shook to its core and exacerbated a worldwide financial crisis due to the activities of a...more

Legal Alert: CFTC and SEC Finally Issue Product Definitions

Yesterday, the Commodity Futures Trading Commission (CFTC) approved final rules and interpretative guidance (Final Rules) to (1) further define the terms “swap,” “security-based swap” and “security-based swap agreement,” (2)...more

Corporate and Financial Weekly Digest - May 11, 2012

In this issue: - SEC Reopens Comment Period for Proposed Amendments to Broker-Dealer Financial Responsibility and Related Rules - NASDAQ Proposes to Institute an Excess Order Fee - Second Amendment to Effective...more

Orrick's Financial Industry Week In Review - March 12, 2012

In This Issue: Financial Industry Developments · FHFA Roadmap for Fannie and Freddie · Fed Mortgage Loan Servicing Action Plans · Administration Support for Homeowners · FHA Price Cuts to the...more

MSRB Cautions Underwriters Against Providing Bondholder Consents -- Client Alert February 2012

On February 7, 2012, the Municipal Securities Rulemaking Board (“MSRB”) issued for public comment draft interpretive Notice No. 2012- 04 (the “Notice”). The Notice provides an interpretation of...more

2011 Ends With Over $100 Million in Penalties and Disgorgements for FCPA Violations at Insurance Company and Telecom Company

Last year ended with a bang on the FCPA front, with the announcement of two large settlements. The settlements took the U.S. government’s collection for FCPA penalties and disgorgement in 2011 over the half-billion dollar...more

House Subcommittee Approves Bill to Prevent the Federal Insurance Office and Office of Financial Research from Collecting Data...

On December 5, the Insurance, Housing and Community Opportunity Subcommittee of the House Committee on Financial Services approved H.R. 3559. 3559 addresses a sensitive issue regarding the proposed power of the Federal...more

InfoBytes, June 11, 2010 - Weekly In-depth review of news & developments in the financial services industry

Topics In This Issue • Federal Issues • State Issues • Courts • Firm News • Mortgages • Banking • Consumer Finance • Securities • Insurance • Litigation • Privacy/Data Security • Credit...more

FDIC Issues Final IOLTA Rule

The Board of Directors of the Federal Deposit Insurance Corporation (FDIC) on December 18 approved a final rule to include Interest on Lawyer Trust Accounts (IOLTAs) in the temporary unlimited deposit coverage for...more

FDIC Board Sets a Two Percent Designated Reserve Ratio

On December 15, the Board of Directors of the Federal Deposit Insurance Corporation (FDIC) voted on a final rule to set the insurance fund’s designated reserve ratio (DRR) at 2% of estimated insured deposits. The Dodd-Frank...more

Securities or Not: Uncertainties Remain For Fixed Insurance Products After Dodd-Frank

When the Securities Act of 1933 was enacted 77 years ago, it was clear that annuity and life insurance products were not securities and were not subject to that Act. However, insurance products have evolved substantially...more

The Financial Stability Oversight Council Holds Inaugural Meeting; Proposed Rulemakings on Nonbank Financial Companies and the...

Sutherland continues to track the implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Act). Title I of the Act established the Financial Stability Oversight Council (Council), and the Council...more

InfoBytes, July 16, 2010 - Weekly In-depth review of news & developments in the financial services industry

Topics In This Issue • Federal Issues • State Issues • Courts • Firm News • Mortgages • Banking • Consumer Finance • Securities • Insurance • Litigation Excerpt from "Federal Issues" FHFA...more

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