News & Analysis as of

Enterprise Risks

Group-Level Accountability for Third-Party Risk: Why It’s So Hard

by NAVEX Global on

Of the wide range of challenges that compliance officers face with third parties, my favorite is: who “owns” third-party risk management? The truth is that different people within the enterprise feel different types of pain...more

IRS Issues Proposed Regulations Addressing “Fee Waiver” Arrangements

by Morgan Lewis on

The proposed regulations may have a significant impact on certain “management fee waiver” arrangements that have become commonplace in the investment management industry....more

Proposed Regulations Issued On Management Fee Waivers

by Proskauer Rose LLP on

On July 22, 2015, the U.S. Department of the Treasury and U.S. Internal Revenue Service issued proposed Treasury Regulations under Section 707(a)(2)(A) of the Internal Revenue Code of 1986, as amended, addressing management...more

Three Practical Steps to Oversee Enterprise Risk Management (ERM)

by Latham & Watkins LLP on

Introduction - Oversight of enterprise risk management, or ERM, continues to challenge boards and occupy a prominent place on the governance agenda. Effective ERM seeks to balance risk and opportunity while enhancing...more

Could the Anthem Hack Happen Again? New Report Analyzes Insurers’ Cyber Security Programs

The New York State Department of Financial Services (the “Department”) recently released a “Report on Cyber Security in the Insurance Sector” (the “Report”). The Report was released on February 8, 2015, just four days after...more

Using Board Executive Sessions to Manage Enterprise Risk

Boards of directors are now thoroughly immersed in enterprise risk management, so much so that separate risk oversight board committees are fast becoming common practice. (See this Doug’s Note.) Boards and management...more

New York Proposes ERM and ORSA Regulation

by Saul Ewing LLP on

The New York Department of Financial Services (“DFS”) has proposed a new insurance regulation that details the requirements associated with adopting an enterprise risk management (“ERM”) function, conducting an annual Own...more

New York Releases Proposed Joint ERM/ORSA Regulation

The New York Department of Financial Services (Department) has announced that Regulation 203 – Enterprise Risk Management & Own Risk and Solvency Assessment (Proposed Regulation) will be formally proposed in a notice of...more

OCIE to Target Adviser Payments for Fund Distribution, Funds with “Alternative” Strategies and New Advisers

by Morrison & Foerster LLP on

In an attempt to “increase transparency, strengthen compliance, and inform the public and the financial services industry about key risks,” the SEC’s Office of Compliance Inspections and Examinations (OCIE) published its 2013...more

Auditing the Adults: U.S. Insurance Regulators' Increased Focus on Non-Insurer Parents

by Holland & Knight LLP on

Originally published in LIMRA Regulatory Review on 1/2013 If there is one change in U.S. insurance regulation that directly resulted from the financial crisis of 2008, it is the expansion of regulatory oversight of the...more

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Cybersecurity

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