Securities Insurance

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UK Financial Regulatory Developments - March 2016 #2

Regulators issue compliance statement for Sound Remuneration Policies PRA and FCA have issued a joint statement notifying EBA that the regulators will fully comply with EBA guidelines on Sound Remuneration Policies with...more

Blog: UK Government Publishes Insurance Linked Securities Consultation

HM Treasury has published an “Insurance Linked Securities: Consultation“, which describes the UK government’s initial thinking about the key features needed to attract ILS vehicles to the UK. The consultation focuses on...more

UK Financial Regulatory Developments - February 2016 #17

PRA updates Solvency 2 internal model reporting statement - PRA has published an updated version of its supervisory statement on the internal model reporting codes and components under Solvency 2. (Source: PRA updates...more

UK Financial Regulatory Developments - February 2016 #15

EBA finalises guidelines for DGS cooperation agreements - EBA has published its final guidelines on cooperation agreements between deposit guarantee schemes (DGS) under the revised DGS Directive. The Guidelines set out...more

Ninth Circuit Finds No Reliance On Auditor’s Qualified Opinions

In 2009, the Securities and Exchange Commission sued Danny Pang and his two companies for allegedly defrauding investors of hundreds of millions of dollars by misrepresenting investments in the life insurance policies of...more

Using representations and warranties insurance in global M&A deals: 8 questions and answers

Negotiation over representations and warranties (R&W) and related indemnification provisions has always been particularly burdensome in M&A transactions, since buyers and sellers have naturally opposite incentives. Sellers...more

UK Financial Regulatory Developments - February 2016 #8

Upper Tribunal manages Keydata applications - The Upper Tribunal has made its decision concerning the procedure to follow in references made by former members of Keydata Investment Services Ltd’s (Keydata) senior...more

UK Financial Regulatory Developments - February 2016 #7

FCA seeks views on payment services regime - Before FCA starts to amend its rules and guidance to take account of the revised Payment Services Directive, which the UK must implement by January 2018, it seeks firms’ views...more

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

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