News & Events
Practical Guide to Maintaining Privilege in Market Conduct Context
The Offices of Locke Lord LLP
8:00 - 8:30 a.m. — Breakfast and Welcome
8:30 - 10:00 a.m. (General CLE Credit)
Market Conduct Examinations – What should a GC know?
- What is the regulator’s authority and mission?
- What are the legal pitfalls a company should avoid?
- What can the company do if there is disagreement with the regulators?
- What is the end game?
10:00 - 10:15 a.m. — Break
Preserving Confidentiality: How to Prepare for and Respond to Government Requests for Privileged Information and Key Ethical Considerations for In-House Attorneys: How To Avoid Inadvertently Waiving the Privilege
- Preserving Confidentiality
- Government’s Point of View
- Practical Advice
- Ethical obligations of in-house attorneys with respect to clients
- Maintaining the attorney-client privileges that attach to each separate affiliate in the holding company system group
- Issues involving the "control group," including who is the client and the pit-falls of sharing privileged information outside of that group
11:45 a.m. - 12:00 p.m.
Question and Answer Session
12:00 - 1:00 p.m. — Lunch
Elizabeth A. Tosaris (San Francisco, Partner): Ms. Tosaris has over 20 years of insurance regulatory and insurance litigation experience, assisting clients on a broad range of issues arising out of the regulation of the insurance industry. Her clients have included a wide variety of insurers, insurance producers, entities in non-insurance lines of business who are considering business plans with an insurance-related component, as well as Departments of Insurance.
Paige D. Waters (Chicago, Partner): Ms. Waters’ practice in insurance and reinsurance law includes extensive experience handling transactional, regulatory, litigation, and insolvency matters on behalf of national and international insurance and reinsurance clients. She represents a broad base of clients in the financial services and insurance industries, including life insurers, accident and health insurers, property and casualty insurers, health maintenance organizations, managed care organizations, mortgage and financial guaranty insurers, fronting carriers, captive reinsurers, service contract providers, producers, insurance receivers, private equity and hedge funds.
Jack Messmore (Chicago, Financial & Regulatory Specialist): Mr. Messmore is a Financial and Regulatory Specialist for Locke Lord LLP where he offers advisory services to insurance regulatory agencies, the insurance industry, legal and accounting firms, insurance receivers and other related entities. He was formerly an Acting Director for the Illinois Department of Insurance (DOI) and served as DOI’s Chief Deputy Director and Financial Regulatory Deputy for a combined 16 years.
1.5 hours of Illinois CLE credit will be issued for Ethics and 1.5 for general CLE. Credit may be issued for other states. Please contact Marissa Pallan (information below) for CLE inquiries.
Who Should Attend
In-house insurance counsel, insurance company executives and compliance officers.
Please RSVP by June 15 to Marissa Pallan at firstname.lastname@example.org or 312-443-1792.