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
It has been reported that the Securities and Exchange Commission (SEC) recently reduced head count by an estimated 12% due to the Trump administration’s effort to rapidly downsize the federal government. Particularly hard-hit...more
When wedding bells are ringing, the last thing most couples want to think about is the possibility of death or divorce. However, for those entering long-term relationships or preparing for marriage, prenuptial agreements can...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
Introduction - On 13 May 2024, the Securities and Exchange Commission (SEC) and the US Department of Treasury’s (DoT) Financial Crimes Enforcement Network (FinCEN) jointly proposed rulemaking to implement Section 326 of the...more
Key developments in May 2024: ESG: The Financial Conduct Authority (“FCA”) updated its webpage on the sustainability disclosure requirements (“SDR”) and investments labelling regime. Among other things, the webpage has been...more
It should come as no surprise that one of the goals of an investment fraud is the theft of customer funds for the scammer’s personal benefit. In legal parlance, this aspect of a fraudulent investment scheme is called...more
Both opportunities and challenges have arisen for the asset management industry as a result of the rapid introduction of UK and EU sustainable finance regulation in recent years. The new requirements have been heightened in...more
Crypto firm bankruptcies and resulting disruption in the crypto ecosystem will continue to exacerbate liquidity and regulatory concerns in this space. Signs of contagion are evident as prices of almost every cryptocurrency...more
The Canadian Institute’s 7th Annual Canadian Forum on Global Economic Sanctions returns to Toronto in-person and via livestream on September 22-23! Join a Canadian and international faculty of government of officials,...more
On April 9, 2021, the SEC’s Division of Examinations (“EXAMS”) published a Risk Alert summarizing its observations from recent examinations of investment advisers, registered investment companies, and private funds engaged in...more
In the 2018 edition of this publication, we ended the introduction with the line, “We can only hope that we will enter 2019 with greater certainty than 2018 as to how the regulatory landscape will look.” Unfortunately,...more
Commission staff highlight key developments and successes in the SEC enforcement program. As they do every year, senior officials from the US Securities and Exchange Commission (SEC or the Commission), including current...more
Asset managers should consider the practical implications of these recent developments. Signaling a new area of criminal and civil securities enforcement, federal regulators are flexing their newly acquired powers under...more
Simon Bushell and James Davies of Latham & Watkins LLP explain the process of locating, preserving and recovering assets in the UK and overseas. It is important for international companies to be able to plan and...more
On January 23, 2013, Bruce Karpati, Chief of the Asset Management Unit (the “AMU”) of the Enforcement Division of the Securities and Exchange Commission, addressed the Private Equity International Conference in New York. Mr....more
As the second term of the Obama administration begins, the SEC is experiencing a profound leadership transition, with the departures of agency Chair Mary Schapiro; Director of Enforcement Robert Khuzami; its general counsel;...more
Bruce Karpati, Chief, SEC Enforcement Division’s Asset Management Unit, recently described enforcement priorities with respect to hedge funds. He noted the Asset Management Unit, comprised of 75 staff across 11 offices,...more