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Government Investigations › Securities and Exchange Commission (SEC) › D&O Insurance

Jones Day

Companies Should Not Overlook Potential D&O Coverage When Responding to Government Subpoenas

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The Situation: Corporate policyholders, and their individual officers and directors, often incur significant fees and costs when forced to respond to government subpoenas that may require extensive document productions and...more

Carlton Fields

Beware Of The Warranty – Second Circuit Relies On Terms Of Warranty, Not Policy, To Make Coverage Determination

Carlton Fields on

Can the terms of a warranty impact the scope of coverage provided by an insurance policy even if the policy does not explicitly incorporate the terms of the warranty? The answer to this question appears to be yes, at least...more

Carlton Fields

SDNY Rules SEC Investigation Is A “Claim” Within Pending And Prior Acts Exclusion

Carlton Fields on

The U.S. District Court for the Southern District of New York has held that a long-running investigation by the SEC constituted a “Claim” triggering the pending and prior claims exclusion in an excess directors and officers...more

Pillsbury Winthrop Shaw Pittman LLP

When Attorneys General Attack: AGs’ Aggressive Investigation of Climate Change Disclosures, and Getting Your Insurer to Provide...

Pillsbury Winthrop Shaw Pittman LLP on

Who’s afraid of New York’s Martin Act? Right now, a lot of Wall Street and energy industry companies, that’s who. Why are they concerned about the Martin Act? Because it grants the New York State Office of the Attorney...more

Goodwin

Do You Have to Disclose a Government Investigation? Practical Considerations, Legal Standards, and Recent Case Law

Goodwin on

After receiving an inquiry from a government agency, such as a subpoena, a Civil Investigative Demand (“CID”), or an informal request for information, public companies ask whether they must disclose publicly that they may be...more

Goulston & Storrs PC

Biochemics, Inc. v. Axis Reinsurance Co.: When Does a D&O “Claim” Occur?

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A recent decision of the United States District Court for Massachusetts underscores the need for holders of director and officer (“D&O”) policies to provide timely – and early – notice of a claim, especially when the SEC...more

K&L Gates LLP

Surviving in an Age of Individual Accountability: How Much Protection Do Indemnification and D&O Insurance Provide?

K&L Gates LLP on

We consider below how advancement of legal fees, indemnification, and insurance operate when officers and directors become involved in regulatory investigations and proceedings. Part I addresses the enhanced risk officers and...more

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