Securities Insurance

Read need-to-know updates, commentary, and analysis on Securities issues written by leading professionals.
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IREG Update - California Commissioner calls for divestiture from carbon-based investments

California Commissioner calls for divestiture from carbon-based investments - California Insurance Commissioner Dave Jones calls for insurance industry divestment from thermal coal and announces a new requirement for...more

The Strategic Value of Transaction Insurance

When we provided our thoughts on representation and warranty insurance (RWI) this time last year (Getting a Deal to Closing with Transaction Insurance), we anticipated that RWI would continue to grow in prevalence in the...more

An SEC investigation: to disclose, or not disclose?

In a recent decision, the Ninth Circuit addressed for a second time the question of whether an issuer’s disclosure of a Securities and Exchange Commission investigation can provide a sufficient basis for a plaintiff to plead...more

The Long Long Game: The EU Financial Regulatory Agenda Into 2016 and Beyond

2016 will mark the eighth anniversary of the collapse of Lehman Brothers and the raft of regulatory reforms introduced in the aftermath of that event and the wider financial crisis will continue to be implemented during the...more

Proposal Calls for CA Insurers to Divest From Coal

On January 25, 2016, California Insurance Commissioner Dave Jones asked California insurers to voluntarily divest their investments in the thermal coal industry. In addition, beginning in April 2016, California insurers...more

California Insurance Commissioner Asks Insurers to Exit Thermal Coal Investments

On January 25 the California Insurance Commissioner issued a press release, and also sent email messages to insurers licensed in California, indicating that he is requesting all insurers doing business in California to...more

European Supervisory Authorities Request Response from European Commissioner to Inconsistencies in Cross-Selling Legislation

On 26 January 2016, the Chairpersons of the European Supervisory Authorities (ESAs) (i.e. EBA, EIOPA and ESMA) sent a letter to the European Commissioner for the Directorate General Financial Stability, Financial Services and...more

Split-dollar Life Insurance – A Tax-Leveraged Derivative for Hedge Fund Managers

The Emergency Economic Stabilization Act of 2008 ended the not so discrete secret of hedge fund managers, the deferred compensation arrangement with their offshore funds or as the New York Times described, “an unlimited Super...more

SEC Provides Long-Awaited Guidance on Fund Distribution and Sub-Accounting Fees

Guidance Update No. 2016-01, published this month by the SEC’s Division of Investment Management, provides extensive guidance concerning the possibility that payments from mutual funds are being used to promote sales of the...more

The Top D&O Stories of 2015 with Kevin LaCroix [Video]

This morning PLUS presented its second webinar of 2016. Based on Kevin’s popular blog post, the webinar was a fantastic look back at the big directors and officers stories of the past year, and provided attendees with an...more

Six Crucial Points About Iran Sanctions Liberalization

Crucial Points - - The U.S. government has, by and large, left in place its embargo generally forbidding U.S. companies, citizens and residents, and others in the United States to engage in Iran-related...more

UK Financial Regulatory Developments - January 2016 #1

TIA publishes guidance on paperless transfers - TIA has published industry guidance on paperless renunciation or transfer of units or shares in authorised investment funds. The guidance sets out measures that operators...more

Where in the World are the D&O Claims? [Video]

From the 2015 PLUS Conference session “Where in the World are the (D&O) Claims?,” moderator Jennifer O’Neill (Allianz Global & Corporate Specialty) and panelist Stephen Shepherd (Zurich Insurance Company) discuss D&O trends...more

eCommerce Regulation, Bitcoin, Anti-Money Laundering, Shadow Insurance, 401(k) Litigation [Expect Focus – Vol. IV, Fall 2015]

IN THE SPOTLIGHT - - California Passes Life and Annuity Electronic Transactions Law LIFE INSURANCE - - Under a Spotlight, "Shadow Insurance" Lawsuit Fails Scrutiny - NAIC Evaluates Insurer’s Use of Variable...more

Proposal of significant tightening of the rules on tax credits regarding German equities

On 17 December 2015 the German Ministry of Finance (Bundesfinanzministerium) circulated its consultation draft bill on the reform of fund taxation (‘Ministry’s Draft’). The Ministry’s Draft still contains a complete revision...more

Securities Litigation and Enforcement Newsletter

In this our second edition of Fenwick’s Securities Litigation and Enforcement Newsletter, we continue to provide you with short insights about timely securities litigation and enforcement developments. This edition’s topics...more

ESAs consult on PRIIPS KID

EBA, ESMA and EIOPA (the European Supervisory Authorities – ESAs) are consulting on draft RTS on the layout of the Key Information Document (KID) to be used under the Packaged Retail and Insurance-based Investment Products...more

New UK Regime to Strengthen Senior Management Accountability

On 7 March 2016, two new regulatory regimes governing the accountability of senior managers will take effect—the Senior Managers and Certification Regime will cover the banking sector, and the Senior Insurance Managers Regime...more

As Litigation Risk Increases, Private Equity Sponsors Should Re-Evaluate Their Professional Liability Insurance Programs

Private equity fund sponsors are facing increased litigation risk from regulators and private parties, including limited partners and stakeholders in portfolio companies.  As a result, private equity firms should re-examine...more

Corporate and Financial Weekly Digest - Volume X, Issue 42

SEC/CORPORATE - ISS Releases 2016 Draft Voting Policy Changes for Comment - On October 26, Institutional Shareholder Services (ISS), a leading proxy advisory firm, released for comment draft voting policy changes...more

New UK Regulations to Govern Whistleblowing in Financial Institutions

This month, the FCA and PRA announced a new regime for whistleblowing that will start to be phased in from March 2016. This is part of the broader desire on the part of the UK regulators to encourage individuals to raise...more

Financial Services Weekly News - October 2015 #4

Regulatory Developments - SEC to Vote on Final Title III Crowdfunding Rules Oct. 30: The SEC has announced that it will vote on whether to adopt rules and forms related to the offer and sale of securities through...more

Securities Class Action Defense Counsel Selection: An Interview Process is Essential

When a public company purchases a significant good or service, it typically seeks competitive proposals. From coffee machines to architects, companies invite multiple vendors to bid, evaluate their proposals, and choose one...more

Update from Wilson Elser’s D&O Insurance Digest

Litigation Developments and Mega Settlements - Dole Food, Inc. Derivative Action – Delaware Chancery Court Finds D&Os Engaged in Fraud - Dole Food, Inc. shareholders sued Dole Chairman and CEO David Murdock and Dole...more

Debate Over Unclaimed Property Continues Before the Uniform Law Commission Drafting Committee

Proposed revisions to the Uniform Unclaimed Property Act were under debate this past week in Washington, DC as the Uniform Law Commission (ULC or Commission) Committee to Revise the Uniform Unclaimed Property Act (Drafting...more

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