Finance is a complicated business. A myriad of laws and regulations from multiple jurisdictions means that you need more than an attorney who knows the industry – you need a sophisticated legal partner with the sound judgment needed to accomplish objectives, overcome challenges, and avoid problems altogether.
BrownWinick has been extensively involved with a variety of financial institutions within and beyond the Midwest. Our practice group has represented corporations, venture capitalists, banks, thrifts stock brokerages, insurance companies and their respective holding companies in all manners of financial transactions, whether large or small, public or private.
We understand the playing field from every angle, and we use our connections and experience to help you make the right tactical decisions, for now and for the future.
Department of Justice Guidance on Corporate Compliance Programs
September 14, 2020 Earlier this summer, the Fraud Section of the Department of Justice (DOJ) Criminal Division updated its guidance on the Evaluation of Corporate Compliance Programs Read…
The DOL Fiduciary Rule and NAIC Showdown: Fiduciary or Not?
August 11, 2020 Despite the apparent harmonization between the SEC Regulation BI (Section 240.151-1, eff. 6/5/19) https://www.sec.gov/rules/final/2019 and the NAIC’s Revised Model on Suitability https://www.naic.org/store/free/MDL-275., the Department Read…
Iowa and Arizona Adopt Best-Interest Standard for Annuity Sales Effective January 1, 2021
July 24, 2020 Iowa (Iowa Code section 507B.4A) and Arizona (Arizona Code SB 1557) passed the revised Suitability in Annuity Transactions Model Regulation effective January 1, 2021. Read…
BrownWinick Adds Insurance Regulatory and Compliance Practice
July 9, 2020 BrownWinick is pleased to announce the addition of attorney Maureen Henderson to our Des Moines, Iowa, office. Maureen has more than 25 years of Read…
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