News

The Great Divide: Are Advisers Sharing Their Political Views with Clients?

As a contentious election approaches, advisers are split over whether to share personal political views with clients, new research shows. The research looks at how advisers are handling this delicate subject.

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SEC obtains record $4.7 billion in penalties, disgorgement

Enforcement cases drop in latest fiscal year, but agency officials tout results obtained amid pandemic challenges

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Cross-Border Estate Planning Under the Tax Cuts and Jobs Act

Navigating the world of subpart F.

Strategic Uses of Family Investment Companies in Europe and the Middle East

A useful vehicle for planning private wealth.

Bernard Herold & Co. and Lantern Investments Team to Create $2B Firm

The newly established Herold & Lantern Investments will include more than 60 professionals in offices in New York, New Jersey, Texas and California.

Schwab reveals more details about TD’s Veo One

Third-party vendors that are not a part of Schwab will likely be added to avoid a negative experience during the transition, according to the firm

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Italian asset manager Azimut takes stake in Sanctuary

The investment will fuel Sanctuary’s plans to acquire more advisory firms

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Hong Kong Residents Moving to The United States

New considerations on the path to Green Card status.

Philanthropic Tax Planning for Family Members and Charities

Strategies for fat and skinny cat clients.

Retirement saving is hard even for people who can afford it

The voluntary nature of defined-contribution plans creates room for some common psychological blind spots to get in the way of saving

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Risk Management and the Prudent Investor Rule

Key findings of empirical study.

Eaton Vance completes takeover of $2.3 billion WaterOak

Assets of the Florida-based RIA were acquired by Eaton Vance Investment Counsel

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New SEC Amendments Expand Access to Private Markets

Critics worry that the latest rule changes will weaken investor protections by expanding the number of investors who could access the markets yet would be unable to sustain heavy losses.

New PPP Transfer Rules May Limit Use of Estate-Planning Strategies

What can be done in light of SBA Notice 5000-20057?

Finra sues ex-BofA Merrill analyst who used corporate card for ‘adult entertainment’

Paramveer Singh, a former tech stock analyst, spent $21,000 at the club, Finra alleges

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A Modern Look at the Enforceability of No-Contest Provisions

State courts and legislatures have taken various approaches.

Directional Alignment—Carried Interest Estate Planning in 2020

Implement potent wealth transfer strategies (while you still can).

DOL took ‘ESG’ out of rule, added new hurdle for 401(k)s

Plan fiduciaries could have to prove that nonfinancial factors of ESG funds are in the best interest of workers, one lawyer said

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Estate-Planning Construction Issues Post-Obergefell

Court interpretations need to acknowledge the legality of same-sex marriages.

Tips From the Pros: Trust Termination Trepidation

Charles A. Redd provides guidance on how careful trustees can proceed when terminating a trust.