Popular, Financial Adviser

A New Sustainable Investment Framework for the EU? ESMA’s Latest Opinion

Goodwin on 7/26/2024

Those who have had to navigate and consider the EU Sustainable Finance Disclosure Regulation (SFDR) have faced its challenges and noted its deficiencies. Specifically, these have included data gaps, the SFDR’s use as a...more

Arizona District Court Confirms Arbitration Award, Denies Cross-Motion to Vacate

Carlton Fields on 4/10/2023

Relying on the Federal Arbitration Act (FAA) and noting that the FAA “enumerates limited grounds on which a federal court may vacate, modify, or correct an arbitral award,” the U.S. District Court for the District of Arizona...more

[Webinar] Intersection of ESG, Health Equity and 501(R) Compliance - March 22nd, 12:00 pm - 1:30 pm CT

Health Care Compliance Association (HCCA) on 3/17/2023

Learning Objectives: 1. Understand the data elements required for 501r, ESG, and health equity 2. Understand how those data elements cross over 3. Understand best practices with data governance and process...more

Top 10 International Anti-Corruption Developments for May 2022

Morrison & Foerster LLP on 6/21/2022

Designed for busy in-house counsel, compliance professionals, and anti-corruption lawyers, this newsletter summarizes some of the most important international anti-corruption developments from the past month, with links to...more

Partners, S Corp. Shareholders And Biden’s 2022 Revenue Proposal: No More Business As Usual

Rivkin Radler LLP on 6/14/2021

What A Ride- No one anticipated that the Administration’s proposed tax increases would fly through Congress easily – at least no one residing in a state in which the recreational use of marijuana has not been legalized....more

Aiding and Abetting Claim Sustained Against M&A Advisor JPMorgan

Gray Reed on 8/3/2020

On June 1, the Delaware Chancery Court (the “Court”) in Morrison v. Berry allowed an aiding and abetting breach of fiduciary claim to proceed against financial advisor J.P. Morgan Securities, LLC (“JPMorgan”) for its role in...more

Create Your Digital Estate Plan

Ruder Ware on 10/9/2019

It seems like our world becomes more digital each day. We can manage almost every aspect of our lives online. But, unless you have updated your estate plan in the last few years, chances are good that your estate planning...more

[Event] 2019 Cross-Border M&A and Private Equity Investment Conference - September 24th, Munich, Germany

McDermott Will & Emery on 8/29/2019

Join us for what promises to be an excellent event at McDermott's 9th annual Munich Cross-Border M&A and Private Equity Investment Conference (MuMAC). We will be welcoming key players from the mergers and acquisitions market,...more

Delaware Litigation Developments Impacting Financial Advisors

Skadden, Arps, Slate, Meagher & Flom LLP on 11/30/2018

Over the last few years, significant developments in Delaware law and practice have changed the traditional M&A litigation landscape. These developments resulted in a dramatic reduction in pre-closing applications for...more

Travel Warning for TN Nonimmigrants in Economist Classification

Proskauer Rose LLP on 12/22/2017

In a policy memorandum dated November 20, 2017, but actually made available to the public on December 18, the United States Citizenship and Immigration Services (USCIS) "clarified" that "an applicant to qualify for TN status...more

Initial Coin Offerings—A Singapore Perspective

Jones Day on 11/6/2017

As interest continues to grow in virtual currencies, blockchain technology and initial coin offerings, governments are evaluating the benefits and potential risks of these innovations, while considering numerous regulatory...more

SEC’s Cybersecurity Risk Alert Reflects Advisory Firms are Gambling with Your Data

Burr & Forman on 8/28/2017

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

Trump Requires DOL to Reevaluate the Fiduciary Rule

Stinson - Corporate & Securities Law Blog on 2/6/2017

Under current law, stockbrokers are only required to recommend suitable investments to their clients. The Department of Labor has issued a so called “fiduciary rule” which requires brokers, advisors and insurance agents, when...more

2016 Year In Review: Corporate Governance Litigation And Regulation

Cadwalader, Wickersham & Taft LLP on 1/12/2017

2016 saw many notable developments in corporate governance litigation and related regulatory developments. In this article, we discuss significant judicial and regulatory developments in the following areas: Mergers...more

Singapore Legal Update - July 2016

A&O Shearman on 8/24/2016

A Conditional Primary Obligation to Pay Is Not a Penalty - In iTronic Holdings Pte Ltd v Tan Swee Leon [2016] SGHC 77 (Singapore High Court, 21 April 2016), the Singapore High Court held that an obligation to pay a...more

401(k) Plan Participants want help, give it to them

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on 8/15/2016

Charles Schwab announced their 2016 401(k) participant survey and it states the obvious: 401(k) participants need help. Less than half (43%) of participants know how much they should save for retirement. Fewer that...more

CFPB takes another challenge to its jurisdiction to court

Ballard Spahr LLP on 6/20/2016

The CFPB filed suit against J.G. Wentworth, LLC on June 7, 2016 after the company challenged the Bureau’s expansive view of its jurisdiction. The CFPB served a CID against J.G. Wentworth, LLC on September 11, 2015 to...more

The Big 401(k) Issue Many Don’t Focus On

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on 2/2/2016

The fixation and discussion about plan expenses usually flares up when the stock market isn’t doing well. Two major corrections within a 10-year period (2000-2010) made fee disclosure regulations inevitable. With the way the...more

Delaware Chancery Court Rejects Allegations Assailing Independence Of VC Directors In Dismissing Derivative Suit

Fenwick & West LLP on 9/8/2015

A recent Delaware Chancery Court decision dismissing derivative fiduciary duty claims has significance for public companies with board members who are associated with venture capital firms. ...more

M&A Update: Delaware Court Finds Dole Executives Personally Liable for Millions in Damages for Defrauding Stockholders in Buy-Out...

Cadwalader, Wickersham & Taft LLP on 8/31/2015

In its August 27th post-trial opinion, In re Dole Food Co., Inc. Stockholder Litigation, the Delaware Chancery Court held Dole executives David Murdock and Michael Carter personally liable for $148 million in damages for...more

Sixth Circuit Affirms $250K Victory to SOX Whistleblower and Provides Broad Interpretation of SOX

Orrick - Employment Law and Litigation on 6/12/2015

On May 28, 2015, the Sixth Circuit in Rhinehimer v. U.S. Bancorp Investments, Inc. affirmed a $250,000 jury verdict in favor of a former financial advisor for U.S. Bancorp Investments (“USBII”) who alleged that he had been...more

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