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Searching Content indexed under Corporate/Commercial Law by Carlton Fields ordered by Published Date Descending.
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1
Parent Company Guarantees Of Annuities
Rule amendments proposed in October by the SEC could impact insurers whose obligations under certain types of annuity contracts have been guaranteed by the insurers' affiliates.
United States
21 Dec 2018
2
Buffer ETFs Vs. Index-Linked Annuities
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
United States
21 Dec 2018
3
SEC Lightens Legal Load Of Mutual Fund Directors
The SEC staff now says that mutual fund directors can rely on chief compliance officer certifications in determining compliance with board procedures required by SEC exemptive Rules 10f-3, 17a-7,
United States
21 Dec 2018
4
Is It Time To Revisit SEC's Ban On "Forced" Arbitration Provisions?
The SEC has long refused to allow companies to go public with bylaws or other governing documents that would require shareholders to arbitrate federal securities law claims against the company.
United States
21 Dec 2018
5
Executive Compensation Disclosure – Partial Relief For Insurance Products
For many years, insurance company issuers of non-variable products that are registered with the SEC on Forms S-1 or S-3 have been required to disclose compensation information about highly-compensated executive officers of the issuer.
United States
21 Dec 2018
6
Intentional Accidents: California Supreme Court Announces That General Commercial Liability Policies Apply To Negligent Hiring, Training, And Supervising Claims For Failing To Prevent Intentional Torts
In a recent decision, the U.S. Court of Appeals for the Ninth Circuit observed that under California law, there was an unresolved question as to whether a commercial general liability ...
United States
12 Dec 2018
7
Tenth Circuit Strikes Offending Arbitration Provision Clause In Au Pair Agreements
Plaintiffs had entered into various au pair agreements which contained arbitration provisions, which defendants sought to enforce when a class action was filed.
United States
29 Nov 2018
8
Is It Time To Harvest The NAIC Suitability In Annuity Transactions Model Regulation?
At the NAIC Fall 2018 National Meeting, state regulators continued plowing through the Suitability in Annuity Transactions Model Regulation (Model 275) (Suitability Model).
United States
29 Nov 2018
9
SEC-Ordered Disgorgement Is An Uninsurable "Penalty," Not A Covered "Loss"
A New York intermediate appellate court has ruled that a $140 million "disgorgement" payment ordered by the SEC in resolution of an investigation into securities laws violations was a "penalty"...
United States
14 Nov 2018
10
Southern District Of New York Confirms Arbitration Award Despite Allegation Of Undisclosed Real Party In Interest
After Hurricane Sandy hit the east coast in 2012, the Army Corps of Engineers contracted with Environmental Chemical Corp. (ECC) to conduct clean up on Fire Island, New York.
United States
6 Nov 2018
11
SEC Proposes Summary Prospectus Option And Modernized Disclosure For Variable Insurance Products
On October 30, the SEC voted to propose modernized disclosures for variable annuities and variable life insurance policies, including the use of an optional summary prospectus.
United States
6 Nov 2018
12
Failure To Procure Cyber Insurance Could Haunt Your Company
A federal court in Florida recently adopted the now well-developed consensus that data breach losses are not covered under standard Commercial General Liability (CGL) policies.
United States
1 Nov 2018
13
Suitability Working Group Stirs Ingredients For Suitability Model Potion
On October 22 and 23, the NAIC Annuity Suitability (A) Working Group (Suitability WG) held an interim meeting to review comments received on the Suitability in Annuity Transactions Model Regulation ...
United States
30 Oct 2018
14
SEC Proceedings Face Uncertainty After Supreme Court Holds ALJs Unconstitutional
After much anticipation, the U.S. Supreme Court ruled on the constitutionality of the Securities and Exchange Commission's (SEC or Commission) Administrative Law Judges (ALJs).
United States
9 Oct 2018
15
SEC: Ether And Bitcoin Are Not Securities
Cryptocurrency investors were concerned following the SEC's July 2017 investigative report on digital token sales by a virtual organization known as "The DAO."
United States
9 Oct 2018
16
SEC ‘Investor Experience Initiative' Expressly Includes Variable Insurance Products
The SEC, on June 5, announced that it would be exploring "modernization of the design, delivery and content of fund disclosures" ...
United States
8 Oct 2018
17
SEC Proposes New Rule Impacting ETFs
On June 28, the SEC proposed new rule 6c-11 to allow open-end exchange-traded funds that satisfy certain conditions to operate without obtaining an SEC exemptive order.
United States
8 Oct 2018
18
XBRL Amendments Have Limited Impact On Insurance Products
On June 28, the SEC amended existing requirements for public operating companies and mutual funds regarding the use of eXtensible Business Reporting Language (XBRL) for financial statement
United States
7 Oct 2018
19
Financial Stability Oversight Council Determines Bank Holding Company Will Not Be Treated As A Nonbank Financial Company Post Merger
FSOC has been criticized in the past for imposing "bank centric" requirements and analyses on insurance companies and other nonbank financial companies.
United States
28 Sep 2018
20
Contract Claims Dismissed Against Reinsurers And Reinsurance Service Providers, But Negligence Claim Against Service Providers Allowed To Go Forward
Vantage, the plaintiff, had purchased insurance from Assured Risk Transfer (ART) against the risk that a company to which Vantage had loaned $22 million would default.
United States
24 Sep 2018
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