The Preferred Return Podcast | AIFMD II – Implementation Begins
The Preferred Return Podcast | Spin-outs and New Fund Sponsors
AdvisorEsq Podcast Series - Episode 8 - Executive Insights: Succeeding as a COO at an RIA Firm
Nonprofit Basics: Unpacking Prudent Investments, PRIs and MRIs
Fintech Focus Podcast | Are Regulators Dictating Fintech Deal Terms?
A 2024 Economic Outlook - Troutman Pepper Podcast
PODCAST: Williams Mullen's Benefits Companion - New Federal Rule Aims to Hold Investment Advisors to a Higher Standard
AGG Talks: Cross-Border Business - Enterprise Ireland and U.S. Market Entry
Cornerstone Research Experts in Focus: Jules van Binsbergen
Podcast Episode 189: Adding Context to Compliance and Color To Your Legal Practice
Basics of Impact Investing: A Conversation About Investment Policies and Evaluation Metrics For ESG Investors
WorldSmart: Un Puente Entre Dos Mundos— Inversiones Entre EEUU y América Latina
Coffee & Regs - Investment Monitoring Rewind & 2022 Preview
Coffee & Regs: An ESG Fireside Chat with KPMG’s Kay Swinburne
Coffee & Regs - Digital Assets: Trading & Compliance for Cryptocurrency
Legally Qualified: Protecting Against Elder Investment Fraud and Exploitation
HIPPER THAN HIP
NOWOTNY KNOWS SQUAT! Part 3 Using Malta Pension Plans to Raise AUM and Sell More Life Insurance
SO VERY HARD TO GO (NOT)! In Pursuit of Puerto Rican Tax Incentives
Introduction- An IPS is an integral policy document for any organization to reduce corporate cash management and investment risks. It outlines an entity's cash management processes and strategies, and its investment goals....more
Mindful of the impending retirement of many millions of investors in the “baby boomer” generation, which hold a substantial amount of the world’s wealth, the Financial Industry Regulatory Authority (FINRA) continues to...more
A plan sponsor was spared from a 403(b) lawsuit, but the advisor is still on the hook. Two plaintiffs filed a complaint in Texas federal court against their employer, Legacy Counseling Center, Inc. the plan’s manager,...more
I am on the record stating that as far as musical taste is concerned, I am a "horn band" aficionado - Tower of Power, Chicago, Blood, Sweat and Tears. By default, I am not an aficionado of folk music and ballads. Having said...more
In this episode, the first in our three-part EU ESG Considerations for Beginners miniseries, Akin Gump financial regulatory partner Ezra Zahabi looks at the Sustainable Finance Disclosure Regulation (SFDR) and what it means...more
Nowotny On Death and Taxes podcast episode #36 Hipper than Hip introduces the corporate sponsored malta pension plan. Learn more about the powerful 401(h) medical plan #maltapensionplan #nonqualifieddeferredcompensationplan...more
Nowotny Knows Squat! Part 3 of the series focuses on value added planning ideas that financial advisors and life insurance agents should introduce to their clients. #financialadvisors #insurance #maltapensionplans ...more
Nowotny On Death and Taxes episode #34 podcast, titled Nowotny Knows Squat Part 3 - Using Malta Pension Plans to Raise Assets Under Management and Sell More Life Insurance, focuses on value added planning ideas that financial...more
Discussion Points: a. Why financial advisors and life insurance agents should be selling PPLI now. b. An overview of the current lay of the land in PPLI. c. The important tax rules of PPLI. d. Planning examples using...more
Gerry introduces his first video presentation on Private Placement Life Insurance and points out the main reasons you should be selling it today!...more
Bank trust departments, also referred to as corporate trustees, provide professional management to the administration of California trusts. People may choose to name a bank to act as successor trustee when they can no longer...more
COVID-19 continues to wreak havoc on the global economy, and the oil & gas industry in particular is experiencing significant turmoil as demand has plummeted. Whether you are a company directly dealing with this economic...more
Are you ready for the world of cryptocurrency? It is increasingly becoming an important—but complex—wealth transfer topic in estate planning. In order to properly advise clients and manage their portfolios, accountants and...more
Nowotny On Death and Taxes - What a Difference a Day Makes! Episode 5 focuses on market changes favoring the sale of private placement life insurance (PPLI) by financial advisors and life insurance agents. ...more
In Atwealth (Pty) Ltd & Others v Kernick & Others (116/2018) [2019] ZASCA 27 (28 March 2019) the Supreme Court of Appeal (SCA) was called upon to decide, among other issues, what conduct constitutes financial advice and what...more
On 14 March 2019, the Supreme Court of Appeal (SCA) dismissed an appeal by Centriq Insurance Company Ltd (Centriq) against a ruling of the Free State High Court holding liable a financial advisor under a professional...more
Individual investors are increasingly interested in alternative investments and managers are pursuing sales, especially with interval funds....more
Words Matter - So, you’re cruising along in the pre-FATCA/CRS world, providing fiduciary services for your clients, setting up accounts in either the name of the trust, foundation, underlying company or other wealth...more
Wilson Sonsini Goodrich & Rosati is pleased to present the February 2018 issue of the WSGR Fintech Update. This latest edition features an article discussing a letter recently issued by the SEC’s Division of Investment...more
The Pennsylvania Supreme Court recently held in Yenchi v. Ameriprise Financial, Inc. that a financial adviser owed no fiduciary duty to a couple who purchased a life insurance policy based on the adviser’s advice where they...more
In August 2017, the SEC’s Office of Compliance Inspections and Examinations issued a Cybersecurity risk alert directed at financial advisory firms. As part of the SEC’s 2014 Cybersecurity Initiative, seventy-five firms,...more
On February 28, the court in the mutual fund excessive fee case against Hartford (Kasilag v. Hartford Inv. Fin. Servs., LLC, No. 1:11-cv-01083 (D.N.J.)) issued a 70-page opinion ruling in favor of the fund adviser and against...more
On January 13, 2017, the Sixth Circuit in Verble v. Morgan Stanley Smith Barney, LLC, declined an opportunity to be the third federal appellate court to address the definition of “whistleblower” under Dodd Frank’s...more
This case involved an underlying arbitration before an arbitration panel operating under the Financial Industry Regulatory Authority (“FINRA”) rules, which was brought by Judith and Kenneth Goldman against their financial...more
The SEC’s Office of Compliance Inspections and Examinations (OCIE) recently issued a compliance alert warning financial advisers about the dangers of outsourcing compliance functions to third-party providers. The alert, which...more