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Securities Law Considerations for Trusts and Estates Advisors: Part II

Reporting and short-swing profit rules applicable to insiders

As trusts and estates advisors, we often counsel our high-net-worth (HNW) clients in connection with wealth transfers of their interests in various types of entities. In Part I of this series,1 we discussed the U.S. securities law considerations for trusts and estates advisors in connection with common estate-planning vehicles investing in private investment funds. In addition, trusts and estates advisors should be aware of potential reporting and short-swing profit rules applicabl

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