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
PLI's inSecurities Podcast - Alternative Asset Managers in the Crosshairs
Once Removed Episode 13: It’s 5 o’Clock: Do You Know Where Your Will Is? A Lesson From Aretha Franklin
Digital Planning Podcast Episode: The Uniform Electronic Estate Planning Documents Act
Podcast: The Briefing by the IP Law Blog - 2023 IP Resolutions Start with a Review of IP Assets
The Briefing by the IP Law Blog: 2023 IP Resolutions Start with a Review of IP Assets
What is a self-proving affidavit?
PODCAST: Williams Mullen's Benefits Companion - What Constitutes Plan Assets Under ERISA?
Cryptocurrency Exchange QuadrigaCX and the Estate of Gerald Cotten - Digital Planning Podcast
The Alabama Securities Commission recently issued an Order exempting Alabama based investment advisers to “private funds” from the requirement to register as investment advisers with the ASC....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
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
As the SEC has issued a number of final or proposed rules affecting broadly the conduct of broker dealers and investment advisers in the past few years, I have received a lot of questions about new compliance concerns....more
The Investment Advisers Act of 1940 (the “Advisers Act”) is a relatively compact statute, and for many years the Securities and Exchange Commission (SEC) adopted relatively few regulations specifically targeting Advisers Act...more
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 of environmental,...more
It is a dramatic understatement to describe 2023 as a busy year in the United States for asset management regulation. With 24 rules adopted and 18 new rules or rule amendments proposed, the US Securities and Exchange...more
As a reminder, each registered investment adviser must file an annual updating amendment to its Form ADV within 90 days of its fiscal year end. This means an adviser with a December 31 fiscal year end will be required to file...more
On 31 October 2023, the Department of Labor (DOL) unveiled its proposed “Retirement Security Rule” (Proposed Rule) redefining who is an investment advice fiduciary under the Employee Retirement Income Security Act (ERISA)....more
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 of environmental, social, and governance...more
This week on Private Market Talks, we welcome Bryan Corbett, a veteran of both Washington and Wall Street. As president and CEO of the Managed Funds Association, Bryan sits at the forefront of regulatory policy issues...more
On 23 August, the US Securities and Exchange Commission adopted new rules and rule amendments that will impose substantial regulation on the management and operation of private funds by investment advisers. The Guide to...more
Fund documents usually stipulate a percentage (70% to 75%, in most cases), but the terms used in provisions can have a significant effect on what the percentage means in practice. Most fund managers operate multiple...more
On July 20, 2023, the Council of the European Union (EU) announced1 a provisional agreement had been reached with the EU Parliament on the amendments to the Alternative Investment Fund Managers Directive (AIFMD) – commonly...more
More than 1,400 individual investors have signed a letter asserting that a large U.S.-based asset manager is violating its fiduciary duty to mitigate climate-related investment risks....more
As a general principle, the Marketing Rule requires registered investment advisers to include net performance alongside any presentation of gross performance. Market practice on whether or how this principle applies to case...more
The U.S. Securities and Exchange Commission (SEC) voted unanimously on Wednesday 26 October 2022 at an open meeting to adopt a new approach to shareholder and investor communications by registered open-end funds and...more
On July 26, 2022, William Birdthistle, the Director of the Division of Investment Management of the US Securities & Exchange Commission (“SEC”), gave remarks at the Practising Law Institute’s annual Investment Management...more
Introduction - On 15 June 2022, the Securities and Exchange Commission (SEC) issued a “Request for Comment on Certain Information Providers Acting as Investment Advisers” (Request)....more
On 24 December 2020, the government of the United Kingdom (UK) and the European Union (EU) reached a Trade and Cooperation Agreement (the “Agreement”) in advance of the end of the Brexit transition period (11:00 p.m. GMT on...more
Regulation (EU) 2019/2088 of 27 November, 2019 on sustainability-related disclosures in the financial services sector, as amended by Regulation (EU) of 18 June, 2020 on the establishment of a framework to facilitate...more
The U.S. Securities and Exchange Commission (“SEC”) issued a statement in response to the Wyoming Division of Banking’s No-Action Letter on Custody of Digital Assets and Qualified Custodian Status....more
- The OCIE of the SEC highlights that responses to COVID-19 present important regulatory and compliance issues for SEC registrants, including “heightened risks of misconduct” tied to recent market volatility. - The Risk...more
Pepper Hamilton partner Gregory J. Nowak recently held a virtual Investment Management and Private Funds Roundtable. Mr. Nowak was joined by Genna Garver, partner at Troutman Sanders, to discuss a variety of current topics,...more