Ann Began Furman
Partner

Washington, D.C.

Email: abf@jordenusa.com
Phone: 202.965.8130
Fax: 202.965.8104

Ann Furman chairs the Firm's SEC/FINRA Practice Team. She specializes in counseling insurance companies, investment advisers, broker-dealers and investment companies in regulatory and compliance matters arising under the federal and state securities laws, state insurance laws, and FINRA Conduct Rules. She has extensive experience advising financial services clients on mutual fund and variable insurance product design, organization registration and disclosure issues, status questions under the federal securities laws, regulatory examination matters, SEC periodic reporting requirements, electronic commerce issues, financial privacy issues, tender offers, and private placement transactions, among other things. She also provides regulatory and compliance counseling to broker-dealer clients, which involves compensation arrangements, compliance and supervisory issues, suitability, e-mail retention and production, advertising and books and records issues.

Ms. Furman served as an SEC-approved independent compliance consultant retained as part of the resolution of an SEC enforcement action. She also was directly involved in the creation of an unprecedented mutual fund structure involving a continuously offered closed-end fund that provided liquidity through quarterly tender offers.

Speeches and Publications

• Speaker and Moderator: NAVA Compliance and Regulatory Affairs Conference: Suitability (2007); Regulation of Indexed Annuities (2006); NASD Regulatory and Enforcement Update (2005); Managing the Compliance Risks of Offshore Outsourcing (2004); Hot Button Issues for Regulatory Examinations (2003); Developing an Effective Anti-Money Laundering Compliance Program (2002); Optional Federal Chartering for Life Insurance Companies (2001); Developing a Privacy Compliance Program after Gramm-Leach-Bliley (2000); Electronic Commerce in Insurance Product Sales and Distribution (2000)
• Contributing Author: Column on "Life Insurance and Annuity Developments," contributed to The Investment Lawyer (Aspen 1994 - present)
• Contributing Author: Handbook on ERISA Litigation (Aspen 1992) on "ERISA Discrimination Claims and Related Federal Statutory Claims"
• Co-Author: The Current State of E-mail Retention and Production Requirements in the Financial Services Industry, NAVA Regulatory Affairs Conference (2005)