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2019 Regulatory Outlook: Ensuring Compliance Across SEC, DOL and NAIC Regulations


Level: Advanced
Runtime: 50 minutes
Recorded Date: September 26, 2018
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Agenda

12:00 pm - 1:00 pm
  • DOL "Fiduciary Rule"
  • NAIC Model Reg. 275
  • SEC Regulation - Best Interest
  • NYSDFS Reg. 187
  • Q & A
Runtime: 50 minutes
Recorded: September 26, 2018

Description

Most insurers are moving ahead with their risk and compliance initiatives, even as regulatory uncertainty poses significant and ongoing challenges. Lawmakers and regulators are striving to make necessary changes and updates to applicable laws and regulations, which insurers are expected to comply with going forward, however in some areas, the requirements aren’t yet so clear. This session will highlight some of the biggest risks within the industry and how insurers can implement strategies to stay on top of these new and at times, confusing, changes.

This program was recorded as part of ALM and Corporate Counsel's 30th Annual General Counsel Conference on September 26th, 2018.

Provided By

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Panelists

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Christopher Mendez

General Counsel, Chief Compliance Officer
Semper Capital Management

Chris chairs the Firm’s Compliance Committee and serves on the Firm’s Investment and Risk Management committees.

Prior to joining Semper, Chris was in the Business Law Department of Goodwin Procter LLP in New York. Chris began his career over 11 years ago in Vanguard’s Legal Department following service as Sergeant in the United States Marine Corps. Chris is on the Board of Directors of Volunteers of Legal Service (VOLS) and the College and Community Fellowship (CCF). Chris is also a Committee Member for the CFA Society New York’s Veterans Roundtable and served as a Deputy President, Region II (NY), of the Hispanic National Bar Association.

Chris earned a BBA from Temple University and JD from Rutgers Law School.

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Rose Marie Glazier

Vice President, General Counsel & Corporate Secretary
AIG

Rose Marie E. Glazer became Vice President, Corporate Secretary and Deputy General Counsel of AIG in March 2017. She leads the corporate governance, securities, mergers and acquisitions and administrative services legal teams within GLCR.

Before joining AIG, Rose Marie was Senior Vice President and General Counsel – Americas for Siemens where she oversaw all aspects of the Siemens legal department throughout North and South America beginning in 2012. Prior to that she was General Counsel of Siemens PLM Software, a business unit of the Siemens Industry Automation Division. Before becoming general counsel, Rose Marie was an Associate General Counsel and Compliance Officer at Siemens PLM Software. Rose Marie has also served as interim General Counsel of Siemens' Mesoamerica operations in Mexico City.

In November 2004, Rose Marie joined Siemens PLM Software from Telvista, Inc., an international contact center company. Rose Marie was Telvista's Vice President and General Counsel. Prior to joining Telvista, Rose Marie held in-house counsel positions at Allied Riser Communications and American Airlines. Before that, she was an attorney with the law firm Jones Day in Dallas.

Rose Marie earned her law degree, cum laude, from Southern Methodist University School of Law in Dallas, Texas. She also has a BBA in Accounting, summa cum laude, and a BA in Spanish, summa cum laude, from Southern Methodist University.

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Jean Weng

Senior Vice President, Deputy General Counsel & Corporate Secretary
Voya Financial, Inc.

Jean Weng is the Corporate Secretary of Voya Financial, Inc., a Fortune 500 company that provides retirement, asset management and insurance solutions. In her current role, she works closely with the Board of Directors, advising it on corporate governance practices and trends, overseeing the organization and operation of all Board and Committee meetings and spearheading the company’s shareholder engagement program. In addition to her role as Corporate Secretary, she also oversees Federal and State Government Affairs and Legal Operations for the Law and Compliance department.

Prior to joining Voya, she was counsel in the Capital Markets Group of Davis Polk & Wardwell, LLP, where she worked on numerous capital raising transactions including IPOs, debt and equity follow-ons and derivatives transactions, as well as advising companies on 33 Act and 34 Act disclosure. She received a bachelor’s degree from Columbia College, a master’s degree in musicology from Columbia University and a J.D. from Columbia Law School. She was chosen as the Corporate Governance Professional of the Year for a small/midcap company in the 2015 Corporate Governance Awards by Corporate Secretary magazine.


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