Financial Planning Tips for the Sandwich Generation with Sherry Finkel Murphy
Digital Planning Podcast Episode: Planning for Your Digital Legacy
[Podcast] Unlocking the Potential of Alternative Markets with HighVista Strategies’ Raphi Schorr
Family Owned Real Estate: Managing Lack of Planning in Family Business Transitions
Family Owned Real Estate: Impacts of the Current Real Estate Market on Transition Planning
Family Owned Real Estate: Avoiding Pitfalls When Transitioning Family Real Estate
Family Owned Real Estate: Common Real Estate & Asset Management Issues
[Podcast] Scoping Out Secondaries with Portfolio Advisors' Liz Campbell
John Wick - What You Need To Know about the Corporate Transparency Act
Family Owned Real Estate: Legal Challenges & Opportunities
Once Removed Episode 24: Expressing Goals and Intent for the Trust
Once Removed Episode 23: Naming Guardians for Minor Children
Once Removed Episode 20: Helping a Beneficiary Purchase a Home
Digital Planning Podcast Episode: Planning for Influencers
Life After Love Gone Wrong Podcast: Season 3, Episode 6 - Reshaping Your Legacy: Estate Planning After Your Divorce
Unraveling the Crypto Code: California's New DFAL Explained – The Crypto Exchange Podcast
A Primer On Trusts - A Podcast with Janathan Allen
Digital Planning Podcast Episode: Exploring DAOs
Current Landscape of Cryptocurrency Regulation and Enforcement - The Crypto Exchange Podcast
Current Landscape of Cryptocurrency Regulation and Enforcement - The Consumer Finance Podcast
This article is the second of a three-part series discussing trusts in the context of certain common investor thresholds for investment in private securities. This article will examine trusts as “qualified clients” under the...more
When presented with an opportunity to join an investment management platform, a prospective manager should carefully take into account the following considerations:...more
As we look back on the SEC’s actions in 2024, we wanted to share our thoughts on lessons learned that we believe will carry through to 2025....more
Enhancing market efficiency, transparency, and investor protection - The US Securities and Exchange Commission (SEC) adopted amendments to Regulation National Market System (Regulation NMS or Reg NMS). Regulation NMS was...more
Many private fund managers are breathing a sigh of relief after the Fifth Circuit struck down the Private Fund Rules (check out our blog post for more information). Do not, however, assume the SEC will stop its aggressive...more
Designed for busy in-house counsel, compliance professionals, and anti-corruption lawyers, this newsletter summarizes some of the most important international anti-corruption law and enforcement developments from the past...more
Every year compliance officers face the unenviable job of performing their compliance program's annual review under Advisers Act Rule 206(4)-7). An essential element of that review is updating the firm's compliance policies...more
On April 5, 2024, after an eight-day trial, a jury in the U.S. District Court for the Northern District of California returned a verdict for the Securities and Exchange Commission in its first “shadow trading” case after...more
To understand the litigation and regulatory risks that are coming in 2024 for private capital, it is helpful to look back briefly on recent events. Arguably, the single most important event over the last 18 months was the...more
On 23 August, the US Securities and Exchange Commission adopted new rules and rule amendments that will impose substantial regulation on the management and operation of private funds by investment advisers. The Guide to...more
This week on Private Market Talks, we welcome Bryan Corbett, a veteran of both Washington and Wall Street. As president and CEO of the Managed Funds Association, Bryan sits at the forefront of regulatory policy issues...more
On September 1, 2023, the Managed Funds Association and a group of private equity and hedge fund trade groups sued the U.S. Securities and Exchange Commission (SEC) in the United States Court of Appeals for the Fifth Circuit,...more
The NY Climate Week conference took place during the week of 18 September 2023, bringing together international leaders from business and governments. During the conference the Taskforce on Nature-related Financial...more
Introduction and Summary - On 3 May 2023, the Securities and Exchange Commission (SEC) approved amendments to Form PF (the Amendments), the confidential reporting form required to be filed by certain SEC-registered private...more
There have been numerous positive developments in the evolution of ESG investing. Still, the research needed to assess which investments are truly ESG-compliant and which are tantamount to greenwashing is burdensome...more
INTRODUCTION - On 17 June 2021, the U.S. Securities and Exchange Commission (the SEC) issued an order to: (i) increase the net worth threshold for “qualified clients” under Rule 205-3 of the Investment Advisers Act of 1940,...more
As investors drive demand for investment products focused on environmental, social and governance (ESG) factors, fund managers have increasingly offered ESG-focused or “sustainable investing” funds. However, a recent speech...more
In a speech on December 11, 2014, SEC Chair Mary Jo White announced three broad “proactive initiatives” to address the risks of “increasingly complex portfolio composition and operations” in the asset management industry. ...more
On July 18, 2013, the Securities and Exchange Commission (SEC) entered into a memorandum of understanding (MOU) with various member states of the European Union (EU) and European Economic Area (EEA) formalizing an agreement...more