Unit Investment Trusts and Structured UITs

05/04/2017 08:30 a.m. - 09:30 a.m.

Capital Markets, Investment Management, Banking + Financial Services, Financial Services, and Structured Products

Morrison & Foerster LLP
250 West 55th Street
New York, NY 10019

Bradley Berman and Anna T. Pinedo

Anna T. Pinedo and Bradley Berman

Seminar

Trevor Starer
tstarer@mofo.com
(212) 336-4310

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A unit investment trust, or UIT, is a type of registered investment company under the Investment Company Act of 1940, in which a portfolio of stocks, bonds or other securities are professionally selected and deposited into the trust. The portfolio is fixed and unmanaged. A UIT can offer investors diversification, liquidity and access to specific investment strategies. A UIT also may offer investors access to more structured returns that, in certain respects, may resemble the returns often associated with market-linked or structured products. During the session, the speakers will discuss:

  • Basic organizational structure and participants;
  • Regulation of UITs;
  • Filing and other requirements applicable to UITs;
  • Structured UITs;
  • Benefits associated with Structured UITs;
  • UITs and the DOL’s fiduciary duty rule; and
  • Fiduciary and advisory issues generally.

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