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OCIE 2020 Exam Priorities

Event | 02.27.20, 3:00 AM EST - 4:30 AM EST

Address

Crowell & Moring
590 Madison Avenue, New York, NY 10022

Crowell & Moring and Silver Regulatory Associates will discuss Digital Assets, AML and the Impact on Your Organization.


On January 7, 2020, the OCIE of the Securities and Exchange Commission, responsible for overseeing investment advisers, broker-dealers and others, announced its 2020 examination priorities. We will review these priorities, with special attention paid to financial technology and innovation, including digital assets and anti-money laundering (AML) programs.


We will cover:

  • OCIE Monitoring of Digital Assets – Offers and sales, trading and management
  • Regulatory Compliance of Digital Assets as Securities – Portfolio management, custody of digital assets, pricing portfolios and internal policies and controls
  • OCIE Review of AML Programs – Compliance with AML requirements and adoption of appropriate AML programs 
  • Financial Stability Oversight Council – Recommendations around digital assets in 2019 Annual Report

Speakers

  • Michelle Gitlitz, Partner, Global Head of Blockchain & Digital Assets, Crowell & Moring
  • Carlton Greene, Partner, Crowell & Moring
  • Fizza Khan, CEO, Silver Regulatory Associates

For questions about this breakfast, please email Nellica Ducreay.

For more information, please visit these areas: Corporate and Transactional, White Collar and Regulatory Enforcement

Participants

Insights

Event | 02.20.25

Has the Buss Stopped? Recoupment Today

Has the Buss Stopped? Recoupment Today: In 1997, the California Supreme Court decided Buss v. Superior Court. In Buss, the court concluded that a liability insurer that defended a mixed action could seek reimbursement from the insured for the defense costs associated with the claims that were not even potentially covered. Since then, numerous courts have held that insurers are entitled to recoup their defense costs associated with uncovered claims or causes of action. On the other hand, a significant number of courts have rejected insurers’ right to recoupment, at least in the absence of a policy provision granting the insurer that right. Some commentators have even suggested that the current judicial trend might be away from permitting insurers to recoup their defense costs. Is that correct? Has the Buss stopped? This panel of coverage experts will analyze insurers’ claimed right to recoupment today, and offer their perspectives on what the law on recoupment should perhaps be and might be in the future.

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