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Finance & Banking › Wills, Trusts, & Estate Planning › Business Torts

Read Finance & Banking Law updates, alerts, news, and legal analysis from leading lawyers and law firms:

News & Analysis as of May 25, 2013

Morgan Lewis

SEC Settles Suit for Misleading Advisory Contract Approval Disclosure

by David Freese, Sean Graber, Daniel Levin, Richard F. Morris, John O'Brien, Zachary E. Vonnegut-Gabovitch | Morgan Lewis on 5/10/2013

Settlement with mutual fund directors and service providers serves as a reminder of responsibilities for disclosures relating to the approval of investment advisory contracts and provides insight into SEC enforcement...more

Ropes & Gray LLP

SEC Settles with Service Providers and Trustees of two Mutual Fund Trusts for Inaccurate Disclosures Regarding Section 15(c)...

by Ropes & Gray LLP on 5/7/2013

On May 2, 2013, the SEC filed an order instituting settled administrative proceedings against the trustees (“Trustees”) and certain service providers of two “turnkey” open-end series investment companies, Northern Lights Fund...more

Morrison & Foerster LLP

SEC Sanctions Fund Trustees for Inadequate Disclosures and Failure to Follow Compliance Policies

by Jay G. Baris, Kelley A. Howes | Morrison & Foerster LLP on 5/3/2013

The Securities and Exchange Commission today charged the trustees of two “turnkey” mutual fund trusts with causing untrue or misleading disclosures about their review of the funds’ advisory contracts. The Commission also...more

Proskauer Rose LLP

Wealth Management Update - November 2012

by Proskauer Rose LLP on 11/16/2012

In This Issue: - November Interest Rates for GRATs, Sales to Defective Grantor Trusts, Intra-Family Loans and Split Interest Charitable Trusts - Keller v. United States, 5th Cir., No. 10-41311 (09/25/12) -...more

IKE DEVJI

Life Insurance as a Creditor Protected Alternative to Cash - Asset Protection

by IKE DEVJI on 9/30/2009

This was featured in WORTH magazine and discusses the tactical use of special legal and insurance strategies as a creditor protected alternative to cash. Great for financial advisors, CPA's and estate and life insurance...more

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