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U.S. Banker June 2011 Joe Adler	The Feds Are Coming New directors and officers coverage protects nonbank financial services directors pay from government clawbacks -- making the idea of FDIC nonbank seizures not so abstract.
U.S. Banker July 2010 Joe Adler	First the Failures, Then the Lawsuits Looking to recoup some of the billions spent cleaning up after the financial crisis, the FDIC eyes legal action against officers and directors of failed banks.
Real Estate Portfolio Jul/Aug 2002 Kenneth L. Betts	Avoiding Enron: Counseling the Audit Committee In general, the role of the audit committee is to review the financial operations and statements of a company and to affirm the integrity and accuracy of the preparation and dissemination of that information. Now audit committees need closer observation, support and liability protection.
Bank Director 1st Quarter 2009 Charles Keenan	Sleep Insurance: How the Market is Affecting Your D&O Coverage Banks face a double whammy of sorts, since rockier times will make it almost necessary to raise coverage limits for directors in order to retain or lure them.
Entrepreneur September 2003 Jacquelyn Lynn	Bad Judgment? Even top execs can make mistakes. With the right coverage, it's no problem.
Bank Director 3rd Quarter 2010 William M. Aukamp	Should Your Bank Have a Lawyer on Staff? Understanding the roles of the counsel and the compliance officer can ensure your bank has all bases covered.
CFO December 1, 2002 David M. Katz	Cover Me Anyone searching for D&O coverage will find it more expensive and less inclusive than ever before.
Bank Director 4th Quarter 2009 Frank Aquila & Peter Naismith	Directing Within the "Zone" Poor economic conditions and lack of credit combine to create new challenges for bank directors.
Bank Director 3rd Quarter 2010 Jeanine Catalano et al.	Effective Strategies to Support Board Deliberations A toolkit of five practical techniques to use when gathering information and considering complex issues.
Entrepreneur October 2006 Jacquelyn Lynn	Don't Get Cut Off Will your D&O coverage be there when you need it?
CFO April 1, 2008 Russ Banham	Retired but Not Forgotten How much D&O coverage do former officers and directors need?
CFO March 15, 2006 Anne Stuart	Serenity Now! Board members worried about compliance-related lawsuits may want to revisit their directors' and officers' insurance policies.
Bank Director 4th Quarter 2009 Jamie Reeves	Evaluating Your D&O Protection The first step the board must take in steeling itself against liability is undergoing a thorough review of its insurance carrier. This interview offers tips on questions the board should be asking before the going gets tough.
Bank Director 1st Quarter 2011	FDIC Lawsuit Targets Directors at Failed Banks and Thrifts; TARP'S Uncertain Legacy In a complaint filed in November of last year, the agency is seeking at least $20 million from 11 executives and directors, including five outsiders.
Bank Director 4th Quarter 2009	For Your Review What financial institutions directors are thinking about-the results of 2009 research by Corporate Board Member and PricewaterhouseCoopers LLP... What's ahead for banking...
Commercial Investment Real Estate May/Jun 2007 David Weisman	Closing Counsel Commercial real estate developers may benefit from hiring a real estate lawyer to manage details.
Bank Director 1st Quarter 2009 Burnett & Gomperz	The New and Emerging Fiduciary Duties of Corporate Directors Today, the public is outraged at Wall Street excesses and angered by revelations of executives who received hefty salaries and severance payments even as their companies dissolved.
Commercial Investment Real Estate May/Jun 2015 Mary Stark-Hood	Liability Solutions Commercial real estate practitioners need to be concerned about liability issues that can result from handling complex transactions. A comprehensive real estate errors and omissions policy is a necessity.
Bank Director 4th Quarter 2010 John R. Engen	Back in the Saddle Former FDIC chairman Bill Isaac has taken the reins as the new chairman of Fifth Third Bancorp. Here, he talks about his career, growing the bank, and why, in his view, Dodd-Frank is an unmitigated disaster.
Bank Director 1st Quarter 2010	Banks Prepare for 2010 This contains highlights of our latest quarterly research on challenges and strategic issues for the year ahead.
Bank Technology News January 2011 Tom Hinkel	IT's On the Front Burner In a survey conducted recently among our bank customers, we asked where they felt the primary areas of focus were for the regulators during their last examination.
Bank Director 3rd Quarter 2009 TK Kerstetter	A Tribute to Bill Seidman Bank Director honors its late publisher, supporter, and friend, Bill Seidman, who passed away this year.
CFO April 1, 2011 Vincent Ryan	The Big Fail Despite the reach of Dodd-Frank, the "too-big-to-fail" bank dilemma lives on.
Bank Director 4th Quarter 2010 John R. Engen	Welcome to the Great Unknown The ink is dry on Dodd-Frank, and now bank executives and board members are cracking open the 2,300-page rulebook to try to discern what it all means for the industry going forward.
Registered Rep. March 1, 2006	Whose Lawyer Is It Anyway? Q: My firm and I have been named in an arbitration filed by a former client. The firm agreed to provide me with a lawyer who is representing it, too. Do I have any reason to be concerned about this joint representation?... A: This is the classic problem that many brokers face... etc.
U.S. Banker January 2005 Karen Krebsbach	The Compliance Officer Rises to the C-Suite Who's the most valuable person in your bank? Today that lofty designation most likely belongs to the compliance officer, and his growing clout is prompting salary spikes.
Bank Director 4th Quarter 2009 Jim Freer	Capital Management: Banking's Trickiest Juggling Act More than ever, directors are keeping their eyes fixed on the balance sheet, in an effort to reach perfect harmony between regulatory soundness and profitability.
OCC Bulletin April 14, 2005	Response Programs for Unauthorized Access to Customer Information and Customer Notice: Final Guidance The guidance interprets the Interagency Guidelines Establishing Information Security Standards (Security Guidelines) and addresses how financial institutions should implement a response program to address unauthorized access to customer information.
Entrepreneur August 2004 Jacquelyn Lynn	Going Separate Ways Pay attention to "separation of insureds" in your company's insurance policies. If the company is sued over bad behavior by one employee, innocent parties may get separate treatment.
FDIC FYI December 10, 2003 Steven Burton	A Portfolio Perspective for Evaluating the Adequacy of the Insurance Funds FDIC economists have teamed up with prominent members of the academic community to develop a state-of-the art approach to measure risks posed to the bank (BIF) and savings association (SAIF) insurance funds.
CFO Kris Frieswick	Less for More Coping with the bear market in directors' and officers' liability insurance...
CFO April 1, 2009 Russ Banham	A Tale of Two Markets Are your directors'-and-officers' liability insurance premiums about to soar? That depends on which industry you're in.
Entrepreneur June 2003 Mark Henricks	Risky Business On the lookout for small business insurance? You might have to re-evaluate your risk tolerance first.
National Defense September 2012 Richard L. Moorhouse	Implementing Evolving Disclosure Rules Federal government oversight, scrutiny of contractors and enforcement actions are on the rise.
CFO December 1, 2006 Alix Nyberg Stuart	Should You Buy D&O ASAP? Directors' and officers insurance rates have dropped, but recent settlements may swing the pendulum in the other direction.
CFO May 1, 2005 Lori Calabro	In Your Own Defense Why representing finance executives in lawsuits is both an art and a science.
Registered Rep. October 1, 2002 Jonathan P. Arfa	First, Hire the Lawyers With heavy investor losses, customer claims filed with the NYSE and the NASD are expected to hit an all-time high in 2002. What should a broker do if they are the target of a complaint?
OCC Bulletin December 20, 2006	Revisions to 12 CFR 215 The Federal Reserve System has published amendments to 12 CFR 215 (Regulation O) in the Federal Register, removing certain reporting requirements regarding extensions of credit to bank insiders.
Investment Advisor July 2008 Elizabeth D. Festa	Fight the Power You can take on the Financial Industry Regulatory Authority (FINRA) and actually come out better than if you had settled.
U.S. Banker June 2009 Davies & Marquez-Garrett	Financial Misconduct Is Not Just a Civil Matter The FBI is shifting more than $75 million in resources from counterterrorism work to help sort through what has been characterized as "the wreckage of the financial meltdown," and financial industry professionals are bracing themselves for the newest wave of recourse: criminal prosecution.
CIO July 15, 2006 Michael Schrage	Visibility for the Board With boards of directors under increased scrutiny by regulators and other entities, CIOs should consider creating a digital dashboard that gives them a view into the key performance indicators of the business.
Inc. September 2008	Insuring Your Business A closer look at the insurance coverage businesses should have includes consideration of growing companies and special circumstances.
Bank Director 1st Quarter 2011 John Engen	Eat or Be Eaten Banks that have strong balance sheets, excellent credit quality and first-rate regulatory compliance skills will thrive in today's challenging operating environment. Banks that lack those characteristics may be forced to sell out.
AskMen.com June 22, 2003 Dan Carter	How To Protect Your Money As money is likely the end goal of your long, hard hours of work, protecting it should be one of your top priorities. To enjoy the fruits of your labor, certain measures should be taken to insure that the cash you earn stays in your pocket.
U.S. Banker April 2010 Michael Sisk	Boardroom Burdens Bank directors must be more hands-on than ever, exercising tighter control over management and setting strategic direction. Here are five issues that need attention now.
Financial Planning February 1, 2005 Steven K. McGinnis	Must SROs Go? A new SEC proposal to separate trading functions from regulatory activities at the exchanges could have far-reaching effects.
U.S. Banker April 2009 John Engen	The Experiment For Sheila Bair, who had taken the helm of the Federal Deposit Insurance Corp. two years earlier, the IndyMac failure was a defining moment.
CFO October 1, 2003 Craig Schneider	The Attorney's Dilemma Will the SEC's new and proposed rules to turn lawyers into whistle-blowers strain relations between finance executives and corporate counsel?
National Defense September 2014 James C. Fontana	Attorney-Client Privilege in Fraud Suits at Risk Government contractors typically maintain ethics compliance programs, which are mandated by the Federal Acquisition Regulation and are part of the industry's best practices.
OCC Bulletin July 12, 1999	Year 2000 FDIC Asset Liability Backup Program FDIC's interim final rule dealing with the backup of limited deposit and loan account information. The rule only applies to insured depository institutions with "needs improvement" and "unsatisfactory" Year 2000 ratings on or after July 31, 1999.