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FSOC proposal further clarifies which nonbank financial companies could be designated “systemically important financial institutions”

Sutherland Asbill & Brennan LLP
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USA
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October 17 2011

In response to criticism and pressure from financial industry participants and members of Congress, the Financial Stability Oversight Council (FSOC), on October 11, provided a more detailed proposal for designating nonbank financial firms as “systemically important financial institutions.”

New whistleblower protections for financial service employees

Sutherland Asbill & Brennan LLP
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USA
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October 1 2010

Much attention has been given to the whistleblower protections of Section 922 of the Dodd-Frank Wall Street Reform and Consumer Protection Act

The Dodd-Frank Act: a new era of financial regulation and the implications for the insurance industry

Sutherland Asbill & Brennan LLP
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USA
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August 3 2010

On July 21, 2010, President Obama signed the Dodd-Frank Wall Street Reform and Consumer Protection Act (Act) into Law

SEC proposes new rule to identify large traders, including insurance companies

Sutherland Asbill & Brennan LLP
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USA
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April 20 2010

On April 14, 2010, the Securities and Exchange Commission (the "SEC") proposed a rule that would require persons that purchase or sell publicly traded securities in excess of certain amounts per month or per day to identify themselves to the SEC

House approves the Wall Street Reform and Consumer Protection Act of 2009

Sutherland Asbill & Brennan LLP
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USA
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January 8 2010

The House of Representatives approved the Wall Street Reform and Consumer Protection Act of 2009, H.R. 4173, which will purportedly overhaul regulation of the financial services sector with tough new controls and create a new agency to protect consumers

Senate Banking Committee Chairman unveils draft financial reform package

Sutherland Asbill & Brennan LLP
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USA
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December 7 2009

Senate Banking Committee Chairman Chris Dodd (D-CT), joined by fellow committee members, announced a bill to reform the way that the U.S. financial system is regulated, which is called “Restoring American Financial Stability Act of 2009.”

Draft legislation to address systemic risk and “too big to fail” financial institutions

Sutherland Asbill & Brennan LLP
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USA
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November 6 2009

The House Financial Services Committee and the Treasury Department released draft legislation to address the issue of systemic risk and “too big to fail” financial institutions

FTC delays Red Flags Rule

Sutherland Asbill & Brennan LLP
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USA
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November 6 2009

The Federal Trade Commission (FTC) has further delayed enforcement of its Red Flags Rule, until June 1, 2010

District court holds insurance representative not subject to fiduciary standard as an investment adviser

Sutherland Asbill & Brennan LLP
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USA
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October 2 2009

The U.S. District Court for the Western District of Oklahoma ruled in Thomas v. Metropolitan Life Insurance Co., No. 5:07-cv-00121 (W.D. Okla. Aug. 31, 2009), that a Metropolitan Life Insurance Co. (MetLife) representative was not subject to the Investment Advisers Act of 1940 (1940 Act) and did not have the fiduciary obligations imposed by advisers under the 1940 Act when selling plaintiffs a proprietary life insurance policy

House may hold hearings on a possible adviser SRO

Sutherland Asbill & Brennan LLP
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USA
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September 4 2009

It has been reported that the U.S. House Financial Services Committee may hold a hearing in October 2009 on whether the investment adviser industry should have a self-regulatory organization (SRO

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