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Investment Adviser › Beneficiaries

Seward & Kissel LLP

FinCEN Imposes New Reporting Requirements on LLCs and Other Entities

Seward & Kissel LLP on

The Corporate Transparency Act (the “CTA”), a set of new regulations being implemented by the Financial Crimes Enforcement Network (“FinCEN”), requires entities newly formed or registered to do business in the United States...more

Carlton Fields

Broker Obtains Preliminary Injunction Enjoining FINRA Arbitration Initiated by Non-Signatories to Arbitration Agreement

Carlton Fields on

Interactive Brokers LLC filed an action in the Southern District of New York seeking preliminary and permanent injunctions against an arbitration proceeding initiated by a group of non-signatories to an agreement between...more

Faegre Drinker Biddle & Reath LLP

A New Opportunity for 529 Account Beneficiaries – Tax-Fee Rollovers to Roth IRAs

Faegre Drinker Biddle & Reath LLP on

Beneficiaries of qualified tuition programs under Section 529 of the Internal Revenue Code (“529 accounts”) will have a new opportunity starting January 1, 2024. Under SECURE Act 2.0 (the “Act”), 529 account beneficiaries...more

Dunlap Bennett & Ludwig PLLC

Essential Things To Know About Trust Administration

Dunlap Bennett & Ludwig PLLC on

If you have been named as the trustee of a trust, you may be wondering what your responsibilities are and how you can fulfill them. This article offers an overview of trustee duties and highlights the legal risks of serving...more

Goodwin

FINRA Focused on Registered Reps Named as Beneficiaries and Trustees for Customer Accounts

Goodwin on

​​​​​​​FINRA recently highlighted Rule 3241 in the 2023 Regulatory Element Learning Plan. Rule 3241 became effective in early February 2021 and prohibits a registered person from being named as a beneficiary, executor, or...more

Eversheds Sutherland (US) LLP

Videocast: Asset management regulation in 2020 videocast series – DOL: What’s ahead

Eversheds Sutherland (US) LLP on

Over the next year, the Department of Labor (DOL) will likely be issuing guidance in a number of areas that could impact asset managers and financial services companies. In this Bottom Line videocast, Carol McClarnon and...more

Proskauer Rose LLP

ERISA Newsletter - Second Quarter 2018

Proskauer Rose LLP on

As we head into the thick of summer, all eyes are on President Trump's nomination to the U.S. Supreme Court to replace retiring Justice Anthony Kennedy and the impact the new Justice will have on shaping the law for...more

Chambliss, Bahner & Stophel, P.C.

Choosing an Investment Adviser for a Special Needs Trust

Chambliss, Bahner & Stophel, P.C. on

Trustees of special needs trusts have a duty to properly manage the funds in their care. However, most trustees, especially non-professional ones, are not sophisticated investors and they should not be directly managing the...more

Holland & Knight LLP

Multiparticipant Trusts and Conflicting Duties

Holland & Knight LLP on

A recent article in the Real Property, Trust and Estate Law Journal [Volume 50, Number 2, Fall 2015] discussed the phenomena of grantors of trusts "increasingly naming trust protectors, particularly for a trust that may...more

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