Funds Not Caged by SEC Names Rule Amendments: Roaming Room Remains -
The SEC recently adopted amendments to its investment company “names” rule that apply to most SEC-registered funds, including underlying funds in which...more
1/11/2024
/ Employee Benefits ,
Employee Retirement Income Security Act (ERISA) ,
Insurance Industry ,
Investment Funds ,
Life Insurance ,
Proposed Rules ,
Putative Class Actions ,
Retirement Plan ,
Securities and Exchange Commission (SEC) ,
Securities Traders ,
Whistleblowers
For broker-dealers distributing and selling variable annuities, examinations will test for compliance with Reg BI and FINRA Rule 2330 because both standards apply to variable annuity sales. Firms distributing and selling...more
More than 25 years have elapsed since the SEC adopted Exchange Act Rule 17a-4(f) governing electronic recordkeeping by broker-dealers. In an effort to update the rule to reflect “technology neutral” concepts, the SEC adopted...more
STOLI -
We reported in detail on developments in the case law and legislation addressing stranger-originated life insurance (STOLI) policies in past issues of Expect Focus – Life, Annuity, and Retirement Solutions. ...more
- Post-Daimler: Are Non-U.S. Companies Safe from Suit in U.S. Courts? What if the Non-U.S. Parent Registers to Do Business in a State?
- Rules of the (International) Road: Choosing and Appointing a Distributor
...more
8/26/2016
/ Argentina ,
Authentication ,
Brazil ,
Commercial Insurance Policies ,
Community Trademark ,
Cuba ,
Cybersecurity ,
DaimlerChrysler v Bauman ,
Distributors ,
EU ,
Foreign Corporations ,
General Jurisdiction ,
Hague Convention ,
Health Insurance ,
Infrastructure ,
Insurance Industry ,
Intellectual Property Protection ,
Patent Filings ,
Personal Jurisdiction ,
Popular ,
Project Finance ,
Public Private Partnerships (P3s) ,
Public Projects ,
Sales & Distribution Agreements ,
Solvency II ,
Special Purpose Vehicles ,
Travel Restrictions ,
UK ,
UK Brexit ,
Uniform Commercial Code (UCC)
In This Issue:
- IN THE SPOTLIGHT
..Crisis Management: Five Steps to Take Before Providing That Comment
- LIFE INSURANCE
..Third Circuit Limits ERISA Fiduciary Liability to those with Ultimate...more
1/16/2015
/ Automotive Loans ,
CFTC ,
Class Action ,
Consumer Complaint System ,
Data Breach ,
Divorce ,
Driverless Cars ,
FCC ,
Health Insurance Portability and Accountability Act (HIPAA) ,
Healthcare ,
Insurance Industry ,
Life Insurance ,
Money Market Funds ,
Mortgages ,
NAIC ,
Private Equity Funds ,
STOLI ,
Unsolicited Faxes
On September 17, California Governor Jerry Brown signed into law legislation intended to reform the California Organized Investment Network (COIN) program. The COIN program is a partnership among the California Department of...more