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Investment Management › Regulatory Requirements › Insurance Regulations

Skadden, Arps, Slate, Meagher & Flom LLP

The Standard Formula: Encyclopaedia of Prudential Solvency – Chapter 5: Prudential Solvency Regimes in the Middle East

Skadden, Arps, Slate, Meagher & Flom LLP on

This chapter discusses the prudential solvency regimes in the Middle East, a crucial topic for anyone involved in the insurance industry. The Middle East is an exciting place to be in today’s insurance market. It is expected...more

Seward & Kissel LLP

SEC Issues Industry Letter Allowing Insurance Companies to File Certain Financial Statements

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Who may be interested: Insurance Companies - Quick Take: In an Industry Letter, the SEC’s Division of Investment Management stated that insurance companies may file financial statements prepared in accordance with...more

A&O Shearman

Draft UK Packaged Retail and Insurance-based Investment Products (Retail Disclosure) (Amendment) Regulations 2024 Published

A&O Shearman on

The draft Packaged Retail and Insurance-based Investment Products (Retail Disclosure) (Amendment) Regulations 2024 have been published, together with an explanatory memorandum. The Regulations make transitional amendments to...more

Carlton Fields

Expect Focus - Volume III, September 2023

Carlton Fields on

Regulators Hit Jackpot: Off-Channel Communications - Several years before announcing the first “off-channel” communications enforcement action, the SEC and FINRA cautioned broker-dealers and investment advisers about...more

Hogan Lovells

A useful reminder for the general insurance sector: FCA's multi-firm review into the supervision by principal firms of their ARs...

Hogan Lovells on

On 20 May 2019, the FCA published findings from its multi-firm review into the supervision by principal firms of their appointed representatives (“ARs“) in the investment management sector (“Investment Management Sector...more

Vedder Price

Investment Services Regulatory Update - November 2017

Vedder Price on

New Rules, Proposed Rules, Guidance and Alerts - SEC STAFF GUIDANCE AND ALERTS - SEC Staff Issues No-Action Letters to Facilitate Cross-Border Compliance with the Research “Unbundling” Provisions of the European...more

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