6-Hour Program

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Overview

Why you should attend

The insurance industry continues to navigate the legal environment in meeting insurance and retirement needs in the face of regulatory initiatives adopted in recent years, and ongoing initiatives for regulatory and legislative change, as well as new technological developments. This timely program provides critical content on the prevailing and emerging legal issues practitioners must understand and insights into product development. As the evolving regulatory regimes that govern securities products and asset management services offered by insurance company complexes unfold, and solutions are needed for many unanswered questions. Our stellar faculty will provide you with a clear understanding of the important developments in this evolving and dynamic field of law.

What you will learn

  • Recent regulatory developments as outlined by the SEC’s Division of Investment Management and Insured Investments Office.
  • The latest on the SEC’s initiatives by the Risk and Examinations Office
  • Information on the latest insurance product designs
  • SEC scrutiny of insurance products
  • Addressing investor and regulator attitudes toward insurance products
  • The 1940 Act core regulation of variable insurance products and mutual funds
  • Insights into the confluence and conflicts of Federal and State regulation
  • FINRA and industry perspectives on marketing and regulatory developments
  • Emerging risk management strategies
  • Developments in pension products

Who should attend

This seminar is designed to provide a context for recent entrants to the emerging legal landscape for securities products and services, and for experienced attorneys and compliance personnel to keep current with the changing regulatory environment. Attorneys advising insurance companies, mutual funds, insurance agencies, broker-dealers, investment advisers, and pension administrators will find that this program significantly contributes to their skills.

Credit Details