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
Since the enactment of the Investment Company Act 85 years ago, the asset management industry has grown from $2 billion in assets to more than $39 trillion in assets. Under existing Securities and Exchange Commission (“SEC”)...more
On June 30, the U.S. Supreme Court agreed to hear a case that will determine whether Section 47(b) of the Investment Company Act of 1940 (ICA) creates a private right of action for shareholders of registered investment...more
The withdrawal aligns with the SEC’s “back to basics” approach, but it does not preclude scrutiny of ESG in asset managers’ strategies, marketing, and fund documentation....more
Spring is a time of renewal, and the US Securities and Exchange Commission (SEC)–under its new chairman, Paul Atkins–has shown that. On 12 June 2025, the SEC withdrew 14 proposed rules impacting funds and asset managers,...more
On June 5th, the SEC brought together regulators, industry leaders, and experts to discuss the evolving asset management landscape at its 2025 Conference on Emerging Trends in Asset Management. This year’s event focused on...more
Our Investment Funds Team reviews a development from the Securities and Exchange Commission that paves the way for private funds to launch interval funds and business development companies (BDCs) that operate as co-investment...more
The SEC published updated Compliance and Disclosure Interpretations on the filing of Schedules 13D and 13G/Shareholder Engagement....more
On March 19, 2025, the staff of the SEC’s Division of Investment Management issued two new FAQs related to Rule 206(4)-1 under the Investment Advisers Act of 1940 (the “Rule”). The new guidance reduces the complexity of the...more
There has been a lot of conjecture that the SEC may become friendlier to registrants because of the new administration. Given the SEC’s mandate to protect the investing public, however, we do not expect SEC examiners to...more
Web3 represents the next evolution of the internet, characterized by decentralized networks and blockchain technology, enabling user-centric platforms and applications with enhanced security and data ownership. Digital...more
When presented with an opportunity to join an investment management platform, a prospective manager should carefully take into account the following considerations:...more
2024 was a year of meaningful regulatory change for asset managers globally. The regulatory activity was wide ranging and without a particular unifying theme. In fact, the wide, and in cases diverging focuses of key global...more
For most investment advisers, March signals the beginning of Form ADV season, where compliance officers gather all kinds of firm data to update a document fraught with potential regulatory liability. For the uninitiated, Form...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
On 8 January 2025, the staff of the Division of Investment Management of the US Securities and Exchange Commission (the SEC) released an updated set of Frequently Asked Questions (the FAQs) related to the amendments to Rule...more
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry. On October 21, 2024, the SEC Division of Examinations (“EXAMS”) published its annual Examination Priorities...more
A recent trend in continuation vehicles involves traditional private equity sponsors serving as the “lead investor” in lieu of, or in addition to, more traditional secondary buyers and institutional investors. This expansion...more
Welcome to IMpact: Investment Management News. In this regular bulletin, DLA Piper lawyers share their insights on key developments that are impacting the investment management industry....more
EXECUTIVE SUMMARY On 28 August, 2024, the Securities and Exchange Commission (SEC) adopted amendments to reporting forms for registered investment companies (funds) that will (1) require funds to file monthly (rather than...more
On July 30, 2024, the Federal Deposit Insurance Corporation (FDIC) issued a notice of proposed rulemaking (NPR) that would expand the FDIC’s role under the Change in Bank Control Act of 1978 (CBCA). The NPR seeks, in part, to...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
INTRODUCTION - Asset managers (i.e., investment advisers) offering funds in more than one country are accustomed to adapting to different regulatory requirements. However, the challenges presented by the global regulation...more
Our Investment Funds Group reviews the implications of a Commodity Futures Trading Commission (CFTC) policy targeting chief compliance officers (CCOs) as individuals if their companies’ compliance programs fail....more
Private Fund Rules Cancelled, Survey Says Marketing Rule is a Lot of Work and the Intersection of Regulation BI and Investment Adviser’s Fiduciary Duty - Welcome to our June Regulatory Roundup, where we provide you with a...more
Speaking at the recent conference on Emerging Trends in Asset Management hosted by the SEC’s Division of Investment Management, the Director the Division of Investment Management Natasha Vij Greiner cited a number of...more