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Financial services legislative and regulatory update

  • Mintz Levin Cohn Ferris Glovsky and Popeo PC
  • -
  • USA
  • -
  • May 13 2013

What had been a relatively quiet week, where until Friday it seemed like the biggest news was that Treasury Secretary Jack Lew was working on his

Variable products distribution - SEC issues no action letter clarifying position on insurance networking arrangements

  • Locke Lord LLP
  • -
  • USA
  • -
  • May 7 2013

The staff at the Securities and Exchange Commission ("SEC") Division of Trading and Markets (the "Staff") recently issued a no-action letter1 to

A warning to financial institutions: failure to issue a litigation hold may have serious consequences

  • Frost Brown Todd LLC
  • -
  • USA
  • -
  • May 3 2013

As electronic discovery has become more prevalent and voluminous, national standards for the preservation of evidence have evolved dramatically in

Expanding market for insurance and risk securities promises high risk, high reward - and high potential for claims

  • Loeb & Loeb LLP
  • -
  • USA
  • -
  • April 29 2013

The securities marketplace has experienced a resurgence of interest in insurance- and risk-linked securities, primarily as a result of Hurricane

Firm element advisory update

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • April 15 2013

On April 12th, the Financial Industry Regulatory Authority ("FINRA") announced the release of the Spring 2013 Firm Element Advisory ("FEA"). The FEA

Corporate aspects of the UK Financial Services Act 2012

  • Morgan Lewis & Bockius LLP
  • -
  • USA
  • -
  • April 12 2013

Long-heralded reform of the UK financial services regulation architecture impacts the listed company regime. On 1 April, a new financial regulation

Professional services exclusion in D&O policy bars coverage for claims against financial advisor

  • Wiley Rein LLP
  • -
  • USA
  • -
  • April 4 2013

A New York federal district court has held that a professional services exclusion in a D&O policy unambiguously barred coverage for claims asserted

Cordray receives a qualified endorsement from Financial Services Roundtable

  • Dykema Gossett PLLC
  • -
  • USA
  • -
  • March 25 2013

The Financial Services Roundtable (FSR), which represents 100 of the largest integrated financial services companies in the United States, has

Amendment seeks to slow rulemaking

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • March 25 2013

On March 22nd, DealBook reported that a raft of Congressional amendments appended to existing bills include one aimed at slowing the implementation

NARAB legislation introduced in the house and Senate

  • Nelson Levine de Luca & Hamilton LLC
  • -
  • USA
  • -
  • March 25 2013

The National Association of Registered Agents and Brokers Reform Act of 2013 (the bill) was introduced in both the U.S. House of Representatives and

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