Goldberg Segalla LLP

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Insurance Regulatory

Goldberg Segalla’s Insurance Regulatory Practice Group is positioned to handle any domestic or international insurance and reinsurance regulatory issue or transaction. Our extensive experience in insurance corporate and regulatory matters — from property-casualty to life, accident, and health and annuities — includes inbound public and private insurance company mergers and acquisitions, and other transactions. We bring the exceptional ability to bridge international gaps, thanks to our deep market knowledge and our team’s experience serving clients in the U.S., Europe, Asia, Latin America, Bermuda, and other key markets.

As a go-to firm for several of the world’s leading insurers and reinsurers, Goldberg Segalla provides invaluable insight related to the day-to-day regulatory issues facing the insurance industry and the most effective methods in addressing even the most complex regulatory challenges. Our team has a proven track record helping clients resolve issues before regulatory bodies, respond to inquiries or investigations, and maintain positive relationships with regulatory authorities.

Our combination of international experience, market savvy, and worldwide reach makes Goldberg Segalla particularly well suited to help clients implement successful regulatory strategies and navigate this highly nuanced environment. As widely recognized thought leaders in the global insurance and reinsurance arena, we regularly advise on emerging trends, legal issues, and the activities of state and federal insurance regulators, the National Association of Insurance Commissioners (NAIC), surplus lines stamping offices, the International Association of Insurance Supervisors (IAIS), and other bodies that shape insurance regulatory policies, including Lloyd’s of London.

A small sampling of the ways our team partners with clients follows.

Insurers and Reinsurers
  • Entity formation, including United States branches of alien (i.e., non-U.S. domiciled) insurers and risk-purchasing groups, as well as structuring, sale, mergers, acquisitions, restructuring, reorganization, and dissolution of insurance and reinsurance companies
  • Regulatory filings associated with formation and change of control (i.e., restructuring, conversion, and redomestication of U.S. subsidiaries or domestication of U.S. branches of alien insurers, etc.)
  • Licensing matters, including company formation, admission, expansion, and redomestication (e.g., preparing all corporate and transactional documents and agreements and preparing and submitting Uniform Certificate of Authority Applications to all 50 states)
  • Guidance regarding the creation, approval, and marketing of insurance products, including application to and negotiation with appropriate authorities
  • Representation in connection with statutory market conduct examinations, state regulatory examinations, and voluntary internal compliance audits of insurers and joint underwriting associations, along with resolution of consumer complaints, administrative hearings, and governmental inquiries and investigations of insurers and producers
  • Representation concerning solvency and other industry modernization initiatives, such as the European Union’s Solvency II directive and the NAIC’s Solvency Modernization Initiative, the effects of the Nonadmitted and Reinsurance Reform Act and other applicable sections of the Dodd-Frank Act, the effects of Brexit on the U.S. excess and surplus lines industry, the impact and nuances of the Patient Protection and Affordable Care Act, etc.
  • Advising on compliance with the NAIC’s Model Insurance Holding Company Systems Act and Corporate Governance Annual Disclosure Model Law, the Foreign Corrupt Practices Act, the UK Bribery Act, the Sarbanes-Oxley Act, , Own Risk and Solvency Assessment (ORSA), statutory investment regulations, federal and state privacy and anti-bribery statutes and New York’s groundbreaking Cybersecurity Regulation Protecting Consumers And Financial Institutions From Cyber-Attacks
  • Advising on regulatory issues concerning the use of social media and usage-based big data in insurance underwriting
  • Representation and counsel on transactions including portfolio transfers, assumption reinsurance, public and private financing, offshore structures, insurance-linked securities, etc.
Producers and Other Insurance Intermediaries
  • Guidance concerning entity formation, licensing, mergers, acquisitions, asset acquisitions, and other transactions for insurance agents and brokers, managing general agents, reinsurance brokers, independent adjusters, third party administrators and excess and surplus lines brokers
  • Compliance advice regarding referral arrangements, limits on commission sharing, fiduciary requirements, anti-rebating laws, etc.
  • Representation with respect to consumer complaints
  • Defending broker-dealers and registered representatives in Financial Industry Regulatory Authority (FINRA) arbitrations involving securities-related claims and with respect to FINRA disciplinary actions
Captive Insurance Companies
  • Developing creative risk-retention/transfer solutions and efficient risk-management programs
  • Advising on captive-specific industry developments and pertinent legislation such as the Nonadmitted and Reinsurance Reform Act component of the Dodd-Frank Act, the Liability Risk Retention Act, the Terrorism Risk Insurance Act, and other government activity
  • Drafting policy language and developing claims-handling procedures
Representative Matters
  • Our insurance regulatory team partnered with one of the world’s largest and most highly acclaimed cross-border law firms on a $5 billion acquisition of a New York Stock Exchange-listed financial services holding company with operating life insurance and annuity companies licensed in all 50 states and U.S. territories and possessions. We collaborated with lead counsel in drafting the transaction document, performed all regulatory due diligence, prepared and filed all statutorily required Form A approval and Form E non-competition filings with state regulators, and participated in the domiciliary state regulatory approval hearing.
  • For another cross-border law firm, we advised a Canadian bank holding company and a foreign airline on regulatory issues pertaining to their subsidiaries in the United States.
  • We have handled acquisitions of U.S.-based property-casualty insurance companies licensed in multiple states by overseas insurers as well as a similar transaction for a joint venture majority-owned by a private equity firm.
  • We counseled the owner of an Arizona captive insurer in selling the captive and transferring its policies to another insurer

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  • 5.0/5.0 Review for John M. Allen by a Associate on 05/04/16 in General Liability

    John is an excellent civil defense attorney. Most importantly, he seeks resolutions that are fair to the parties. This is a trait not often found in litigation matters. Given that John and I were on opposite sides of the fence in a recent case, my... Read more

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    John is an excellent civil defense attorney. Most importantly, he seeks resolutions that are fair to the parties. This is a trait not often found in litigation matters. Given that John and I were on opposite sides of the fence in a recent case, my comments stem from personal knowledge of this gentleman. Read less

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    Mike is an excellent attorney, a strong client advocate and worthy adversary.

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Diversity

Both within our own firm and across the wider business and legal communities, Goldberg Segalla’s commitment to diversity is strong, sincere, and a critical component of our firm’s mission and culture. Our philosophy has always been that we hire people who are excellent at what they do, and even better human beings. Period. We feel we would be doing a disservice to our firm and to our clients if we didn’t include contributions from every available resource.


We are extremely proud that our commitment has received regional and national recognition for the innovative programs we have developed and the results we have been able to achieve. The following is a sampling of the firm-wide or individual honors we have received for implementing initiatives that make a difference:


  • George B. Vashon Innovator Award, Minority Corporate Counsel Association
  • MCCA Firm Affiliate Network
  • Vault/MCCA Commitment to Diversity
  • Community Service Award, Defense Research Institute
  • Good Works Award, American Bar Association Section of Litigation
  • Outstanding Committee Chair, ABA Section of Litigation
  • Diversity Trailblazer Award, New York State Bar Association
  • Legal Service Award, Minority Bar Association of Western New York
  • Lawyer of the Year, Bar Association of Erie County
  • Legal Community Leader Award, National Federation for Just Communities of Western New York
  • Diversity Excellence Award, Buffalo Niagara Human Resource Association
  • Value Award for Diversity, Leadership Buffalo
  • Western New York Game Changers, Buffalo Spree magazine

What we are most proud of, though, is that our efforts have shown significant results and continue to make a lasting impact on the lives of many.

Leadership and Action

To put our philosophy and commitment into practice, we have a Diversity Task Force, which includes our managing partner, in place to conceptualize and implement diversity-focused programs as well as give diversity a voice in our decision-making at the highest level. The individuals on this task force share the firm’s strong commitment to increasing diversity, and they use their unique experiences and backgrounds to support and advance that goal. The team meets regularly to create programs, schedule events, establish diversity initiatives both inside and outside of the firm, set long-term goals, and develop the strategy to recruit and retain people from diverse backgrounds.


The chair of our Diversity Task Force, Joseph M. Hanna, has spearheaded numerous diversity initiatives in various organizations and outreach programs, serves on several diversity-related committees, and is a frequent author and speaker on diversity. Among other positions, he is co-chair of the American Bar Association (ABA) Young Lawyer Leadership Program, former chair of the association’s Minority Trial Lawyer Committee and its Special Committee on Human Rights, and former editor-in-chief of the ABA’s Minority Trial Lawyer; a 2014 fellow of the Leadership Council on Legal Diversity (LCLD); a past president of the Minority Bar Association of Western New York (MBAWNY) and the MBAWNY Foundation; and the Diversity Liaison for several committees at the 22,000-member DRI.


For more than a decade, Goldberg Segalla has proudly supported the ABA’s Judicial Internship Opportunity Program, which provides racial and ethnic minority law students, along with members of other groups underrepresented in the legal profession, opportunities to serve as an intern with a judge during the summer after their first or second year of law school. Joe Hanna — an alumni of the program himself — acts as a mentor and leader in the program, through which he has conducted more than 100 interviews for students across the country.

In 2017, Goldberg Segalla participated in the Thurgood Marshall Summer Law Internship Program, the New York City Bar Association’s flagship pipeline program for high school students. As a participating legal employer, we hosted high-achieving inner-city students for the summer and collaborate with the NYC Bar to provide them with additional programming before, during, and after the summer designed to help them prepare for a legal career.

Each summer, Goldberg Segalla proudly welcomes interns through a formal Diversity Clerkship Program that was conceived by Joe while he served as president of the MBAWNY. The program was developed in collaboration with the MBAWNY and the SUNY Buffalo Law School to provide opportunities for minority UB Law students to gain firsthand experience in the legal system. Since it was launched in 2011, the program has placed more than 100 students in clerkships in area courts as well as in several area law firms, with more judges and law firms asking to participate every day. It provides participants with an in-depth look at the legal process and the interaction between the bench and the bar that they would not otherwise get. At our firm, a dedicated team of partners monitors the work of these law clerks and ensures they obtain valuable experience to help develop important legal research, writing, case management, and client service skills critical to their long-term success. Our program earned the firm the Minority Corporate Counsel Association’s 2012 George B. Vashon Innovator Award.


We also have sponsored Success in the City, an annual diversity networking and mentoring event developed by Joe that brought together students, legal and business professionals, educators, nonprofits, and political leaders to make lasting partnerships. Many employment, business, and mentoring relationships resulted from this event. Past events have drawn more than 500 political and business leaders, legal professionals, and students. Success in the City has influenced the development of similar programs in Baltimore, Cleveland, Birmingham, Dallas, and elsewhere.


Our firm is committed to spreading the message throughout the broad legal and business communities that embracing diversity contributes to greater overall success. We conduct training sessions for in-house counsel at Fortune 500 corporations on increasing and promoting diversity. Our attorneys have authored articles and delivered presentations on diversity for various legal organizations, including DRI and the ABA, and our efforts and accomplishments in this area have been profiled in publications such as Law360, the New York State Bar Association’s State Bar News, Business First of Buffalo, the Buffalo Law Journal, and others.


In one example of our work to provide inspiration and raise awareness of diversity and women’s issues in the legal community, Caroline Berdzik, chair of our Employer and Labor Practice Group, spoke to Law360 for the publication’s “Female Powerbrokers” series. In the interview, Caroline discussed her career, the challenges of being a woman at a senior level at a law firm, the work-family life balance, and the importance of taking risks. She also offered guidance to female attorneys on moving their careers forward and advice to law firms on both increasing the number of women partners and retaining top female talent. Her longtime advocacy for women (at her previous firm, she served on the Women’s Business Development Committee and was a member of what became the national Women’s Presidents Organization) helped earn her a spot on the 2015 NJBIZ list of New Jersey’s Best 50 Women in Business.


Joe Hanna also was featured by Law360 in its “Minority Powerbrokers” series, in which he shared his perspective on breaking the glass ceiling in the legal industry, the challenges of being a lawyer of color at a senior level, how law firms can increase diversity in their partner ranks, and Goldberg Segalla’s core commitment to diversity.

Partnerships

Goldberg Segalla is proud to be a member of the Minority Corporate Counsel Association Firm Affiliate Network, which was created by the MCCA to assist and acknowledge law firms that are committed to advancing diversity and inclusion in the legal profession.


We are also a member of the Leadership Council on Legal Diversity (LCLD), a national organization of leaders in law firms and corporate legal departments dedicated to creating a truly diverse legal profession. As noted earlier, Joe Hanna was a fellow of the LCLD in 2014. In this position, he played a critical role in organizing the first-ever New York City LCLD Fellows Roundtable event, and he was instrumental in establishing a mentorship program in Hartford for local diverse first-year law students.


We support the diversity efforts of numerous organizations, including:

  • American Bar Association
  • Asian American Bar Association of New York
  • Columbian Lawyers Association
  • Defense Research Institute
  • Federal Bar Association
  • Korean American Association of Greater New York
  • League of First Nations
  • Minority Bar Association of Western New York
  • National Bar Association
  • Native American Rights Fund
  • National Association of Asian American Professionals
  • National Congress of American Indians
  • New York State Bar Association
  • Seneca Free Trade Association
  • SUNY Buffalo Law School
  • Women’s Bar Association of the State of New York

Our outreach efforts led to the creation of a comprehensive database of more than 500 minority law organizations throughout the United States. Contact between these organizations takes place in anticipation of bringing CLE and legal programs together. This group of minority bar associations includes both local and national organizations, such as:

  • National Association of Women Lawyers
  • National Association of Muslim Lawyers
  • Hispanic National Bar Association
  • National Asian Pacific American Bar
  • Black Women Lawyers Association of Los Angeles
  • South Asian Bar Association of Philadelphia
  • Vietnamese American Bar Association of North Carolina

A Talented and Diverse Team

Diversity is further evident within our firm through the many languages and dialects spoken by members of our team, including Albanian, Arabic, Croatian, French, German, Greek, Hebrew, Hindi, Italian, Korean, Malayalam, Mandarin, Marathi, Norwegian, Portuguese, Punjabi, Russian, Spanish, Swedish, Tagalog, Tamil, Thai, and Urdu.


Goldberg Segalla’s culture is one that values team-spiritedness, collegiality, and interpersonal harmony within our working community. We are a firm that believes in diversity in the workplace, and we are proud to offer a professional and positive work environment for each and every member of our team.


On these values, and on our commitment to diversity, we will never waver. We are proud of what we have accomplished thus far, but we also realize that this is a long-term mission. We will continue to innovate and to improve diversity in law and business — both within Goldberg Segalla and across the communities in which we live and work.

Diversity Matters — Join the Conversation

If you have questions regarding any of the firm’s diversity initiatives or would like to discuss ideas regarding increasing diversity in the legal profession, please contact Joe Hanna (716.566.5447; [email protected]) or another member of our Diversity Task Force:

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