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Results: 11-20 of 57

Changes in securities & insurance regulation affecting enforcement strategies ALI-ABA conference on insurance & financial services litigation

  • Edwards Wildman Palmer LLP
  • -
  • USA
  • -
  • July 19 2010

Speakers at the ALI-ABA's annual conference on insurance and financial services regulation in Chicago offered extensive commentary on changes in enforcement strategies for insurance and securities fraud, in light of recent overhauls to the regulatory scheme

Financial reform package preserves the role of state insurance departments in regulating indexed annuities

  • Edwards Wildman Palmer LLP
  • -
  • USA
  • -
  • July 16 2010

In December 2008, the U.S. Securities and Exchange Commission (the “SEC”) adopted Rule 151A (the “Rule”) classifying equity-indexed annuities (“EIAs”) as securities, and subjecting them to federal regulation effective 2011

Securities and Futures Commission publishes new handbook

  • Edwards Wildman Palmer LLP
  • -
  • Hong Kong
  • -
  • July 16 2010

On 25 June 2010, the Securities and Futures Commission of Hong Kong (the SFC) published the new SFC handbook (the Handbook), which came into immediate effect

Financial Services Authority and Financial Reporting Council publish discussion paper on auditors' role in prudential regulation

  • Edwards Wildman Palmer LLP
  • -
  • United Kingdom
  • -
  • July 9 2010

On 30 June 2010, the UK's Financial Services Authority (FSA) and Financial Reporting Council (FRC) published a joint discussion paper (DP) entitled "Enhancing the auditor's contribution to prudential regulation"

Investment managers are restricted from making political contributions to win business -- unregistered advisers are covered by the SEC's new pay-to-play rule -- third party solicitors are spared . . . if they are registered advisers or broker-dealers

  • Edwards Wildman Palmer LLP
  • -
  • USA
  • -
  • July 1 2010

Fund managers and other investment advisers will face tight new restrictions on their ability to make - or facilitate - contributions to politicians, candidates and other officials who are responsible for public assets, including pension plans and Section 529 tuition plans

Financial reform conferees complete work on overhaul legislation

  • Edwards Wildman Palmer LLP
  • -
  • USA
  • -
  • June 25 2010

In the early morning hours of June 25, House and Senate conferees completed action on financial regulatory reform legislation (H.R. 4173) by approving a final conference report by a vote of 20-11 among House conferees and a vote of 7-5 among Senate conferees

State insurance commissioners make their case for inclusion in the Financial Stability Oversight Council

  • Edwards Wildman Palmer LLP
  • -
  • USA
  • -
  • June 18 2010

In a letter from the National Association of Insurance Commissioners (the "NAIC") to both House and Senate leaders, state insurance commissioners urged lawmakers to designate a non-voting seat for state banking, insurance and securities regulators on the Financial Stability Oversight Council (the "FSOC"

European Commission consults on short selling

  • Edwards Wildman Palmer LLP
  • -
  • USA
  • -
  • June 18 2010

On 14 June 2010, the European Commission published a consultation document on the options for dealing with short selling

UK Chancellor sets out proposals for reform of financial services regulation

  • Edwards Wildman Palmer LLP
  • -
  • United Kingdom
  • -
  • June 17 2010

In the annual Mansion House Speech on 16 June 2010, the UK Chancellor announced his intention to abolish the tri-partite system of financial regulation established by the former Labour government

UK client money deadline approaches

  • Edwards Wildman Palmer LLP
  • -
  • United Kingdom
  • -
  • June 11 2010

We have previously reported on the UK Financial Services Authority's (FSA) Client Money and Asset Report (the Report), published in January 2010

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