In This Issue:


..Private Equity: The Next Wave of SEC Enforcement Actions?


..How to Fight a STOLI Scheme: Court Rulings Offer Clues

..STOA Schemes Face Increased Regulatory Scrutiny

..Regulators Target Insurance Company Acquisitions by Private Equity Funds

..New York Fines Two Major Insurers

..PBGC Supports Lifetime Income

..Harsh Justice


..Seventh Circuit Confirms: In-House Insurance Lawyers Are as Good as the Name-Brand Product

..Appellate Court Rejects “Explosive Corpse” Theory

..Denying Coverage Based on Advertising Injury, Court Finds Corporations are Not Persons

..Title Insurers Face a Decade of New Challenges

..Eleventh Circuit Maps a Route Around Four Corners


..Supreme Court Protects Whistleblowing Employees of Mutual Fund Adviser

..Small SEC Steps Toward a Uniform Fiduciary Standard?

..Mutual Funds Get Congressional Help Against FSOC

..FINRA Continues Investor-Friendly Arbitration Reforms

..New FINRA Supervision Rules May Require Immediate Action

..Certain Merger and Acquisition Brokers Escape SEC Registration

..SEC “Likes” Social Media for Investment Advisers


..The ACA’s Bumpy Ride

..Congress Sends Mixed Messages to Health Care Providers


..The High Costs and Consequences of a CFPB CID

..Proposed CFPB Rule Would Allow Online Posting of GLBA Privacy Notices

..Exposing Individual Issues Regarding Consent Can Help Defeat Class Certification

..Mortgage Servicers Face New Requirements for Responding to Consumer Error Claims

..Mortgage Servicers Face Consumer Lawsuits Under CFPB “Periodic Statement” Final Rule


..Start-Up Tech Company Will Not Change the Future of Television


- Excerpt from Private Equity: The Next Wave of SEC Enforcement Actions?:

Ever since the Dodd-Frank Wall Street Reform and Consumer Protection Act required many investment advisers to private equity funds to register with the SEC for the first time, fund managers knew that additional scrutiny might eventually follow. The SEC then launched the Presence Exams Initiative in October 2012, specifically to examine the operations of private equity investment advisers. Now, the Commission seeks to greatly increase the size of the task force examining the private equity industry. As a result of these developments, much of the private equity industry is now subject to registration, a new compliance infrastructure, and soon, perhaps, the next round of SEC enforcement actions.

Please see full Newsletter below for more information.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

© Carlton Fields Jorden Burt | Attorney Advertising

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