BALANCE
STABILITY
RELATIONSHIPS
TEAMWORK
INTEGRITY
Legal Department Overview
Internal Facing Roles
Department also functions in support of the operations units and business units of the Company
Provide legal assistance with wording, document creation and review and legal support underlying decision-making for LPT and Assumed Reinsurance lines of business
Non-Disclosure Agreements
Treaty wording
LPT Agreements
Support of Operations through work with the Human Resources, Finance and Information Services
Employment law and Financial Regulatory matters dominate work done with Human Resources and Finance
Support includes analysis of legal issues, policy and wording interpretation, contract review, etc. for areas such as Claims, Excess Underwriting, Large Casualty and Business Development
BD - Corporate Communications
Excess/Large Casualty - BOR Matters
Claims - Master Service Agreement issues
Department supports Executive and Senior Management-Level decision-making
Legal is involved on multiple potential fronts
Direct handling of assigned affairs for the Company
Retention of outside counsel as subject matter experts
Direct advice giving
External Facing Roles
Litigation Management
Consumer Complaint Responses
Suits against the Company
Liaison between internal business decision-makers and outside counsel with respect to strategic decisions faced by the Company in litigation
Likelihood of Confusion?
Interal coordination of litigation (management)
This excludes Claims matters or Claims-related litigation
Retain outside counsel
Regulatory Liaisons for the Company
Anti-Fraud
Market Conduct Examinations
Regulatory Affairs
Regulatory Reporting
Annual Statement
Certificates of Authority
Security Deposits
Tokio Marine Reporting
Quarterly Reporting of Compliance Issues
Control Self Assessment
Group Company Coordinated Regulatory Responses
Departmental Composition
Organizational Chart
Jeff Otto, General Counsel, Senior Vice President and Secretary
Jennifer Schleeper, Legal Administrative Assistant
Assistant to General Counsel, Regulatory Affairs
Nick Kriegel, Assistant General Counsel
Kathryn Walters, Legal Support Supervisor
Anti-Fraud, Document Retention and Destruction, Paralegal Services
Becky Bryant, Licensing Coordinator
Agent Licensing
Bryan Mauller, Senior Counsel
External Facing Legal Affairs
Corporate Governance
Intracompany Structure
We are typically the liaison between external parties and the Company on all legal matters, including reporting to DFG and TMNA
Serving as the "Corporate Cop"
We provide internal legal advice to Senior and Executive Management as an aid to corporate decision-making
Our Client is the Corporation
Legal Department responds to requests for assistance from every department
Corporate Governance
Safety National Casualty Corporation Board of Directors
Board Level Committees
Safety First Insurance Company Board of Directors
Liaison with Delphi and the TM Group Companies in North America
When is it a Legal Decision?
The "Party of No"
Business Prevention Unit
Business decisions must be weighed against the legal issues associated with those decisions
This is a risk/return analysis weighing all known, and all anticipated but unknown, legal factors that bear upon an outcome for a particular issue
Legal Department must strike a balance within the Company between legal decision making and business decision-making
