On Jan. 10, 2023, the Financial Regulatory Authority (FINRA) released its 2023 Report on FINRA’s Examination and Risk Monitoring Program (“Report”) in which it identifies the year’s areas of examination
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Corporate Governance in Insurance: Key Regulatory Considerations
By Richard J. Fidei & Fred E. Karlinsky on
Posted in Corporate Governance, Insurance
Corporate governance in insurance continues to be a growing focus among state regulators. The National Association of Insurance Commissioners (the NAIC) adopted the Corporate Governance Annual Disclosure (CGAD) Model Act…
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SEC Seeks Additional Resources for Examination and Enforcement in FY 2017 Budget Request
By John K. Wells on
The Securities and Exchange Commission (SEC) recently presented the President’s Fiscal Year 2017 budget request for the SEC to Congress. Among the notable requests, the SEC seeks significant additional resources…
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