What’s Your Game Plan? Offensive or Defensive: Playing to Your Strengths [Expect Focus – October 2016]

- AXA Prevails at First Post-Jones v. Harris Excessive Fee Trial

- Potential Secondary Effects of Regulatory Examinations: Evidentiary Issues and Preclusion in Parallel Litigation

- On The Horizon: Global Insurance Capital Standards

- NAIC Long-Term Care Innovation Subgroup Public Hearing

- D.C. Circuit: SEC’s In-House Court is Constitutional

- Brexit’s Impact on the Insurance Industry

- Recent Insurer Victories in Indexed Annuity Class Actions

- Department of Labor Rule Paves the Way for State-Run Retirement Plans

- SEC Exhibit Hyperlink Proposal Excludes Investment Companies

- Illinois Courts: Fixed Indexed Annuities Are Not Securities

- What You Must Know About New York’s Proposed Cybersecurity Regulation for the Banking, Insurance, and Financial Services Sectors

- SEC Issues Guidance on Business Continuity Planning for Registered Investment Companies

- CFPB Grabs for SEC/CFTC Turf

- FINRA to Overhaul Gifts, Non-Cash Compensation, and Business Entertainment Rules

- SEC Probes Share Class Recommendations

- SEC Curious About Mutual Fund Unicorns

Please see full Newsletter below for more information.

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Written by:

Carlton Fields
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