Consider the Importance: Rising Interest in Estate Planning
Essential estate planning items are generally agnostic to the ebbs and flows of the national economy, while sophisticated, proactive planning can certainly be affected by economic factors. Sean Link looks at developments for both.
March 23, 2023
IAA Responds to SEC Request for Comment on Information Providers Acting as Investment Advisers
The IAA comments on the SEC’s Request for Comment regarding whether index providers, model portfolio providers, and pricing services (Information Providers) are acting as investment advisers.
August 16, 2022
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August 02, 2022
SEC’s Gensler Signals Increased Focus on Fixed Income Markets
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May 03, 2022
President Signs LIBOR Bill to Address Legacy Contracts
President Biden signs law for uniform process to replace LIBOR in legacy contracts, designed to prevent disruptive litigation.
March 29, 2022
SEC Enforcement Case Calls into Question Hedge Clauses in Retail Advisory Contracts
This case has potentially significant ramifications for advisers to retail clients who have hedge clauses in advisory contracts.
January 14, 2022
SEC Updates Performance Fee Rule to Remove Specific Dollar Amounts
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November 22, 2021
Compliance and Operational Risks Associated with Public Pension Plan Investors
Requirements for public pension plan investments have expanded. Managers must consider compliance challenges before a plan invests and before the first interaction with a plan.
October 20, 2021
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