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In a cautionary tale about the career-limiting risks of SEC sanctions, a private fund adviser and its owner were found to have misused over $1 million of fund assets....

Hello, and thank you for joining us today on this Ropes & Gray podcast, the latest in our series of podcasts and webinars focused on CFTC and derivatives issues.

Inventory — is it an asset or a liability with a host of hidden problems? True, it is an asset shown on the balance sheet, but what is inside that number?

At a meeting of the SEC Asset Management Advisory Committee, SEC officials challenged members to consider how advances in financial technologies impact investors and the advice they receive.

At an Asset Management Advisory Committee meeting, SEC officials considered a subcommittee's proposed recommendations on environmental, social, and governance disclosure.

There are several gifting vehicles that provide donors and their families with the opportunity to participate in their philanthropy on an ongoing basis

If you inherit an IRA, you have several options for handling the funds — depending on your relationship with the original accountholder.

Our ultra-high net worth individual (UHNWI) clients are often referred to us by Vistra's network of tax lawyers or asset managers.

Over the last week, several registered investment advisers have received examination letters, issued from both the Securities and Exchange Commission's national office in Washington...

Trusts can provide many estate tax planning benefits, including wealth distribution, asset protection, and estate and gift tax reduction.

Issuers of bonds governed by New York law indentures – the instrument containing the rights and obligations of the issuer, the trustee for the bondholders and the noteholders under the bonds

On November 14, 2018, the United States Court of Appeals for the Third Circuit affirmed the dismissal of and denial of leave to amend a putative class action complaint against Altisource...

The escalating uncertainty surrounding COVID-19 has forced many individuals to consider and address current health, market and estate planning concerns.

Our primary concern during this highly unusual time is that you and your family are safe and sound. We urge you to remain as cautious and well-informed as possible.

An estate plan is not meant to remain unchanged forever. Life evolves, and with it, personal circumstances, family dynamics, and financial situations shift in ways that can make an estate plan outdated...

National Estate Planning Awareness Week, the third week in October, was adopted by Congress in 2008 to help the public understand what estate planning is and why it is a vital component of financial wellness.

In 2023 the Nationwide Multistate Licensing System (NMLS) will implement highly anticipated updates to the quarterly Money Services Business Call Report (MSBCR).

The EU has now adopted supplementary rules on how funds are marketed to professional investors in the EU that the European Parliament voted on in April this year.