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22nd Annual Fall Life Settlement and Compliance Conference

Presentations were originally presented at the 22nd Annual Fall Life Settlement and Compliance Conference in Scottsdale Arizona on October 17th and 18th, 2016.

Monday, October 17th

Keynote Presentation: Shaping the Future

Barry Goldwater Jr. is a keen observer and participant in today’s troubled and challenging time. As a proven leader, his interpretation is an important addition to the ongoing discussion. Goldwater is a former U.S.Congressman  (1969-1984) from California. He served at the same time in Congress with his father, Senator Barry Goldwater (R-AZ). Barry graduated from Arizona State University. He worked as a stockbroker and then a partner in the securities firm of Noble Cook, Inc., now Wedbush Securities in Los Angeles before being elected to Congress in 1969. In the U.S. Congress, Goldwater served on the Committee on Public Works, the Committee on Science and Technology and the Joint Committee on Energy. In 1984, Goldwater retired from politics and currently is in private business as president of Goldwater*Taplin Group representing clients across all insurance industry segments. Goldwater is a frequent guest on cable news and stays involved in public and government affairs.

Keynote Speaker:

  • Barry M. Goldwater Jr.

Legal and Public Policy Changes and Trends

Over the past year, legal issues regarding cost of insurance increases and illustrations have been the subject of activity in the secondary market for life insurance. Additionally, a much-anticipated decision addressing insurable interest was handed down in September 2016 by the Florida Supreme Court. This session will provide an in-depth look at these important cases and how their outcomes will affect the market.


  • Seth Ard, Susman Godfrey LLP
  • Jule Rousseau, Arent Fox
  • Nat Shapo, Katten Muchin Rosenman LLP

2015 VBT – How Relevant is this New Table to Our Industry?

The 2015 VBT tables were created by the life insurance industry to update mortality information for pricing and as a basis for reserves. Its predecessor, the 2008 VBT, was clearly inadequate for assessing life settlement mortality.  Is this new table any better?  What are the implications of using this table for pricing and portfolio management?


  • Vince Granieri, Predictive Resources, LLC

Tuesday, October 18th

Lead Gen: Rules of the Road

As the secondary market for life insurance has been expanding its reach to consumers directly, this session will explore the rules of the road with respect to lead gen. Topics will include: What is advertising? What are the legal responsibilities of licensees and non-licensees with respect to lead gen? How is lead gen compensated and reported? As well as other compliance and business issues related to direct to consumer lead generation.


  • Brian Casey, Locke Lord LLP
  • James W. Maxson, Culhane Meadows PLLC
  • Maggie O'Gara, GWG Holdings, Inc.
  • Moderator:
  • Michael Freedman, GWG Holdings, Inc.

Life Settlement Market Review: Conning Research

Conning annually publishes a market review describing the current status, issues facing investors as well as market participants and a forecast of their expectations about market growth.  In addition to discussing the market review, this session will discuss events that are impacting the life insurance industry and their likely effect on the life settlement market.

Keynote Speaker:

  • Scott Hawkins, Conning & Company

Market Integrity – Key to Growth of the Life Settlement Industry

Market integrity is central to a healthy and growing life settlement market. Consumers and capital will have confidence in a market where transparency and disclosure are a core part of transactional behavior. This session will discuss issues beyond the current legislative and regulatory framework that are necessary to maintain a highly respected market where consumers may sell their policies with confidence and trust.


  • Nancy B. Rapoport, University of Nevada, Las Vegas
  • Darwin Bayston, Life Insurance Settlement Association
  • David Serra, Vida Capital Inc.  
  • Moderator:
  • Dan Young, Magna Life Settlements

Tertiary Investments in Life Settlements

The session will discuss how and why the tertiary market serves a very important function to the active secondary market for life insurance.  In addition to liquidity, the tertiary market provides a source of available policies for new institutional funds who may need an initial base of core holdings.  The session will also provide an update of the status of the tertiary market.


  • Jeffrey Bollerman

Course Materials