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Life
Settlement Reporting
QUESTION AND
ANSWER SESSION
Life Settlement
Reporting for Brokers:Tuesday, February 16th, 2010 @ 11:00AM
Life
Settlement Reporting for Providers:Tuesday, February 16th,
2010 @ 3:00PM
Times are EST!
Attendees who participated on
the Reporting Calls on January 12th or January 14th attend
this Q & A Session for FREE!
Any company
that would like to attend this Q & A Session may
REGISTER HERE. Your registration fee will include a
recording of the previous Reporting Webinar.
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Broker Reporting:
11:00AM ET |
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Brian Staples
Consultant
RIGHT LLC |
Joy Dawe
Compliance Director
Crump Life Insurance |
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Provider Reporting:
3:00PM ET |
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Brian Staples
Consultant
RIGHT LLC |
Jim Maxson
Of Counsel
Morris, Manning & Martin, LLP |
John McCarroll
Vice President - General Counsel
Q Capital Strategies, LLC |
In this
webinar ...
Reporting deadlines are fast approaching. Attend this Q & A
session to ask industry experts any last minute questions
you may have before filing your reports! Annual reporting is
a detailed and intensive process - attending this Question &
Answer session will help you avoid mistakes and get it done
right the first time!
Register and receive the following recorded webinar for
FREE...
Reporting deadlines are fast approaching! Let LISA help you
get a leg up during this crucial time! Tune in to this
webinar to hear the Do’s and Don’ts of annual reporting from
Industry veterans. In one brief hour, they will guide you
through the process and give you the benefit of their years
of experience. Annual reporting is a detailed and intensive
process – attending this webinar will help you avoid
mistakes and get it done right the first time! You will gain
insight on the proper way to file and send your data and
suggestions on the most efficient ways to submit your
reports. The speakers will also cover some of the most
“difficult” states, including Texas and Kentucky, and will
also address potential penalties for filing late or failing
to file at all. Join us to address these and many more
topics.
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Brian Staples
Consultant
RIGHT, LLC
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Brian K. Staples is
President of RIGHT LLC, a regulatory and government
affairs consultant headquartered in Versailles,
Kentucky specializing in life settlements. Brian
provides consulting services to the Life Insurance
Settlement Association (LISA) and representation at
the National Council of Legislators (NCOIL), the
National Association of Insurance Commissioners (NAIC),
various state legislatures, insurance and securities
regulatory agencies. Brian is actively involved in
the development and delivery of educational and
training seminars for the life settlement industry.
RIGHT LLC provides licensing assistance to
individuals and corporate structures who are seeking
licensure in the viatical and life settlement
marketplace. One of their current projects is
developing a program to review life settlement
licensees focusing on their marketing, regulatory
and compliance activities. Brian believes the life
settlement industry must lead with integrity and
generate transactions that are compliant and
transparent.
Brian is the former Director of Life Insurance for
the Kentucky Department of Insurance and served in
various capacities in Kentucky state government for
15 years prior to leaving in 2004. The 2000 Kentucky
General Assembly enacted the Viatical Settlements
Act that Brian and his team wrote which implemented
many consumer protection measures, which included
mandated disclosures to sellers, broker compensation
disclosure, pre-licensing training, testing and
continuing education requirements on viatical
settlement brokers While at DOI he represented
Kentucky on the NAIC Life Insurance and Annuities
“A” Committee and helped write the NAIC Viatical
Settlements Model Act and Regulation adopted during
the early 2000s. Brian also served on the Small Face
Amount Working Group, the Suitability Working Group
and the Financial Services Task Force.
Brian is a native Kentuckian and is married with two
girls. The Staples family resides in Versailles
where Brian serves as a Trustee for the Versailles
Baptist Church and serves on the boards of the
Woodford County World Equestrian Games Committee and
the Woodford County Chamber of Commerce. |
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Joy Dawe
Compliance Director
Life Settlement Insights
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Joy Dawe joined Life
Settlement Insights as Director of Compliance in
early 2008. She is responsible for ensuring the
company’s adherence to state and federal
regulations, with particular attention to licensing
and reporting requirements. She directs the firm’s
internal audit functions.
Prior to Life Settlement Insights, Ms. Dawe operated
an independent consulting company, serving clients
in insurance and related industries. Previously, she
was First Vice President, Regulatory Compliance at
Ceres Group Incorporated, a consortium of insurance
companies based in Strongsville, Ohio. Before
joining Ceres, Ms. Dawe was Claims and Compliance
Manager at Family Heritage Life Insurance.
Ms. Dawe holds an MBA from Baldwin Wallace College
and a BS in business administration from Bowling
Green State University. |
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Jim Maxson
Of Counsel
Morris, Manning & Martin, LLP |
James W. Maxson is Of
Counsel in the firm’s Insurance and Reinsurance
group. Mr. Maxson’s areas of expertise include life
settlements, mergers and acquisitions, securities
and regulatory issues.
Mr. Maxson is Co-Chair of the firm’s Life
Settlements group and his practice focuses on all
aspects of the life settlement industry. He has
performed extensive work in the areas of licensing,
regulatory compliance, fund structuring, and policy
acquisitions.
Mr. Maxson worked for four years as the Executive
Vice President, General Counsel and Acting Chief
Operating Officer of a leading life settlement
provider company where he was responsible for all
compliance and legal matters, including
interpretation of legislative and regulatory
requirements and compliance with securities law. Mr.
Maxson was previously a senior associate at a large
international law firm where he practiced in the
areas of securities and mergers and acquisitions. He
also clerked for the Honorable Alice M. Batchelder
on the U.S. Court of Appeals for the Sixth Circuit.
Mr. Maxson is a frequent presenter on topics related
to the life settlement industry. He is also active
with the Life Insurance Settlement Association
(LISA), the oldest and largest association
representing the life settlement industry, and is a
member of LISA’s Legal Committee. |
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John McCarroll
Vice President - General Counsel
Q Capital Strategies, LLC |
Mr. McCarroll joined
the Company in 2005. Mr. McCarroll has extensive
experience in the area of corporate insurance law
and has spent a significant portion of his career
advising insurers, insurance brokers and other
insurance-related entities on a wide variety of
regulatory, compliance, and licensing issues. Mr.
McCarroll has worked at both Locke, Lord, Bissell &
Liddell, LLP and Dewey and Leboeuf, LLP, two of the
country's leading insurance law firms. In addition
to his insurance background, Mr. McCarroll has also
represented clients in litigation, corporate and
employment matters. Mr. McCarroll graduated with a
B.A. from the University of Virginia and holds a
J.D. from St. John's University School of Law. Mr.
McCarroll is a member of the LISA Board of Directors
where he spends a significant portion of his time on
government and regulatory affairs including
participating at the quarterly NAIC meetings. |
Disclaimer:
The opinions expressed in this forum are not necessarily the
opinions of the Life Insurance Settlement Association. The
advice given is not intended as legal or financial advice.
Webinar attendees should consult with his or her own
attorney before relying on advice given herein.
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BECOME A PRESENTER! |
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For topics, suggestions, or to become a presenter,
please contact Shannon Fleshman, Conference Services
and Product Sales,
Shannon@lisassociation.org |
LISA is committed to promoting the development, integrity
and reputation of the life settlement industry and providing
a competitive market for the people it serves. Our expansive
event calendar aims to provide content targeted to the
many important industry types that make up the settlement
marketplace.
The Voice of the
Industry
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