Meeting of the Day Pitney Insurance Compliance Best Practices Group
November 11, 2015
On November 11, Jim Bowers coordinated a meeting of the Insurance Compliance Best Practices Group held in Day Pitney’s Hartford office. The insurance group was formed by the firm several years ago to provide a semi-annual forum for compliance officers of major insurance companies to discuss cutting-edge compliance issues. Several of the firm’s lawyers gave presentations on the evolving insurance regulatory process, the prioritization of individual liability in Securities and Exchange Commission (SEC) and Department of Justice enforcement efforts, the changing insider trading liability standards, the updated SEC whistleblower program, and the latest developments in investment adviser/broker-dealer compliance. Day Pitney presenters were Sam Caligiuri, Bill Goddard, David Elliott, Bob Appleton, Elizabeth Latif, Eliza Fromberg, and Sunita Paknikar.