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Systemic Risk and Asset Management: Progressing from Ignorance to Confusion

Early this year, the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) issued a Consultative Document regarding Assessment Methodologies for Identifying Non-Bank Non-Insurer...more

Legal Alert: Final Volcker Rule: Update and Key Takeaways for Insurers

On December 10, 2013, the Federal Reserve Board (FRB), the Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, the Securities and Exchange Commission, and the Commodity Futures Trading...more

Global Financial Market Insight - November 2013

Welcome - With recovery in financial markets starting to take hold it is an exciting time to launch our Global Financial Markets Insight. The purpose of our new quarterly is to help guide new and experienced users of...more

S.D.N.Y. Disqualifies Securities Class Action Plaintiffs’ Expert and Denies Class Certification

Recently, in IBEW Local 90 Pension Fund v. Deutsche Bank AG, No. 11-cv-4209, 2013 U.S. Dist. LEXIS 155136 (S.D.N.Y. Oct. 29, 2013), District Judge Katherine Forrest declined to certify a class of securities plaintiffs and...more

EIOPA Publishes Concerns on Investment Insurance Products’ Inclusion under MiFID II

A letter sent on September 19 from Gabriel Bernardino, the Chairman of the European Insurance and Occupational Pensions Authority (EIOPA), to the European Commission Director General of Internal Market and Services, Jonathan...more

European Commission Issues Communication Addressing New Sources of Risk in the Financial Sector

On 4 September 2013, the European Commission published a long-anticipated communication that detailed far-reaching plans to reform the shadow banking industry. The envisaged reform project anticipates a five point approach,...more

Asia: Corporate Newsletter - August 2013

Listing rule changes regarding the new IPO sponsors regime - The much anticipated new regulatory regime for IPO sponsors will come into effect this October. Details of the reforms under the new regime have been...more

Financial Services Quarterly Report - First Quarter 2013: New Rules for China’s RQFII Regime

At the January Asian Financial Forum in Hong Kong, the Chairman of the China Securities Regulatory Commission (“CSRC”), Mr. Guo Shu Qing, stated that Mainland China could increase the level of investment quotas for both the...more

The New Year Brings New Sanctions Against Iran

As 2013 begins, the United States has reiterated its commitment to countering the threat posed by Iran by passing new legislation, issuing new regulations and guidance, and bringing into effect new requirements to increase...more

Iran Sanctions Update

The United States continues to impose additional layers of sanctions on Iran. The rate of change and complexity of U.S. sanctions laws present challenges, particularly where these sanctions have extraterritorial effect on the...more

SEC Charges Allianz with FCPA Violations

On December 17th, the SEC brought a settled administrative FCPA action against Allianz SE, a German insurance company with a subsidiary in Indonesia. The order does not allege violations of the FCPA’s antibribery provisions,...more

The Allianz FCPA Enforcement Action – What the Compliance Practitioner Needs to Know

Who is your favorite character from the Iliad? Is it Agamemnon the king who brings the Greek Armada to Troy for his brother’s honor; perhaps Ajax the mountain of a man who is the most loyal Greek warrior; how about Achilles...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

Allianz To Pay $12.3M To Settle SEC’s Bribery Allegations

On December 17, 2012, the Securities and Exchange Commission ("SEC") announced that Allianz SE ("Allianz"), a German-based insurance and asset management company, had agreed to pay approximately $12.3 million to settle...more

Ritholtz: 'Dot Com Bonus Envy' Stymies Wall St. Reform [Video]

Dec. 5 (Bloomberg Law) -- The unregulated multi-trillion dollar derivatives market exceeds global GDP and poses a clear danger to the global economy, Chris Whalen, Senior Managing Director at Tangent Capital Partners, and...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

The FCPA and Insurance Coverage: Five Strategies for Protecting Against the Financial Costs of an FCPA Claim

In an era of high profile Wall Street prosecutions and shareholder derivative suits, the phrase “Foreign Corruption Practices Act” (“FCPA”) surely should have corporate officers and executives deeply concerned and vigilant....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

Financial Markets Law & Regulation Update n°21/2012

Update on EU and Italian laws & regulation in Financial Markets, Funds, Banking and Insurance, 17 – 23 September 2012....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

Showing Substance - Offshore Independent Directors for PE Funds - www.privateequitymanager.com

More emerging market fund managers are seeking the services of offshore non-executive directors. David Charles Lloyd of Walkers Management Services explains some of the intricacies around their function....more

Orrick's Financial Industry Week in Review - November 14, 2011

In This Issue: -Financial Industry Developments · Basel Committee Final Rules on G-SIBs · FHFA Response to Senators' Letter on Executive Compensation · MSRB Request for Comment on Definition of...more

The FSA Bares its Teeth: Be Aware of International Enforcement Regimes

While many companies here in the US complain about the enforcement of the Foreign Corrupt Practices Act (FCPA), and are actively seeking to soften its enforcement by lobbying Congress to amend the FCPA, just imagine how they...more

What's in store? Exploring issues in commodity storage and warehousing

As demand for storage capacity for the world's most commonly traded commodities grows, governments and major private commodity trading companies are investing heavily in warehousing and tank capacity. Storage space is a...more

European Council Approves the European Securities and Markets Authority

On November 17, the European Council announced that it had approved the regulation establishing the European Securities and Markets Authority (ESMA). The Council also adopted without debate the so-called “Omnibus I...more

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