News & Analysis as of

Life Insurance Investment Opportunities

Carlton Fields

OCIE Turns Up Heat on Private Fund Adviser Compliance

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On June 23, the SEC’s Office of Compliance Inspections and Examinations issued a risk alert providing an overview of certain compliance deficiencies observed in examinations of registered investment advisers managing private...more

Gerald Nowotny - Law Office of Gerald R....

Dark Side of the Moon: The Peculiarities of the Alternate Investment Diversification Testing Method for Variable Universal Life...

Overview - I was never a Pink Floyd fan growing up. My older brother Willy liked Pink Floyd along with Jimi Hendrix, Led Zeppelin. I liked all of the horn bands – Chicago, Blood, Sweat and Tears and Tower of Power. The one...more

Kramer Levin Naftalis & Frankel LLP

Acquiring a Life Insurer — Things You Need to Know Now

With M&A activity for life insurers or blocks of in-force business poised for a possible spike, acquirers of life businesses should consider factors that are peculiar to, or disproportionately affect, the life and annuity...more

Carlton Fields

Defendants Not Liable for Insurance Agent’s Ponzi Scheme

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A California appellate court recently affirmed the dismissal of claims against multiple insurers made by victims of a Ponzi scheme that was orchestrated by an independent insurance agent....more

Carlton Fields

Challenging New York’s “Best Interest” Standard: A Comparison to COCUS

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Recent challenges filed by trade associations representing insurance agents in the state of New York seek to overturn the amendment of Regulation 187, which will impose a “best interest” standard on life insurance agents in...more

Carlton Fields

Buffer ETFs vs. Index-Linked Annuities

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Like most ETFs, the buffer ETFs are registered with the SEC on Form N-1A as “open-end” investment companies, and they issue and redeem their shares at net asset value (NAV) only as part of large blocks, known as “creation...more

Ballard Spahr LLP

Investment Management Update

Ballard Spahr LLP on

Here in is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry....more

Carlton Fields

SEC Sidelines Funds Focused on Cryptocurrencies

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In a January 18 letter to two of the fund industry’s leading advocacy groups, the staff of the SEC’s Division of Investment Management advised fund sponsors not to initiate registration of funds that intend to invest...more

Hogan Lovells

Italian insurance legal framework: latest news for insurers and distributors

Hogan Lovells on

Postponement of IDD implementing provisions - On 14 February the EU Council agreed the text of the proposed Directive to postpone the deadline for the transposition into Member States of Directive 2016/97 on insurance...more

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