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NAIC Takes Dive Start on Investment Management Agreements With New Guidance for Insurers | Carlton Fields

NAIC Takes Dive Start on Investment Management Agreements With New Guidance for Insurers | Carlton Fields
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Investment management agreement drafting groupAuthority for transactionsWinter national meetingMacroprudentiale working groupNational association of insurance commissionersSurveillancee working groupNational associationInsurance commissionersWorking groupConsiderations applicableNot exclusivePrivate equity owned insurersRisk focused surveillanceAnalysis handbookDrafting groupFinancial condition examiners handbook

United States - Money Laundering - FinCEN And SEC Propose CIP Requirements For Investment Advisers

United States - Money Laundering - FinCEN And SEC Propose CIP Requirements For Investment Advisers
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Bank secrecy actEnforcement network finExchange commissionFinancial servicesArnold porterFinancial crimesEnforcement networkAdviser risk assessmentProposed ruleFederal registerSuspicious activity reportsInvestment advisers actAdvisers actSecurities enforcement

United States - Securities - SEC Settlement Reflects Continued Scrutiny Regarding Conflicts And Preferential Treatment

United States - Securities - SEC Settlement Reflects Continued Scrutiny Regarding Conflicts And Preferential Treatment
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Exchange commissionSmas to production companyProduction companyFilm studioExecutive producerPrincipal failedInterest resultingPrincipal improperly preferencedInvestment advisers actPreferential treatmentPreferential treatment rulePrivate funds rules

Proxy Advisers Win by a Nose, Eclipse Conflict Disclosure Requirement | Carlton Fields

Proxy Advisers Win by a Nose, Eclipse Conflict Disclosure Requirement | Carlton Fields
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District of columbiaUnited statesInstitutional shareholder services incNational association of manufacturersSecurities exchangeSecurities exchange actExchange actInstitutional shareholder servicesNational associationInvestment advisers act

Request for Comments on FinCEN and SEC rule on CIP | King & Spalding

Request for Comments on FinCEN and SEC rule on CIP | King & Spalding
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United statesKing spaldingFinancial crimes enforcement network finExchange commissionFinancial action taskReliance on another financial institutionInternational organization for standardizationBank secrecy actDepartment of treasuryProposed ruleCustomer identification programsRegistered investment advisersExempt reportingFinancial crimes enforcement networkCovered investment advisersDue diligence