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Family Office (18)
Your search for Family Office returned 18 results.
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3/14/2019 | Content area: Investment Adviser
Paul Edmunds used to be a broker-dealer before he opened his own RIA. Four years ago, he converted the advisory firm into “a multi-generational, singl...
6/21/2018 | Content area: Investment Adviser
Family offices can avoid SEC registration provided they stay within the confines of Advisers Act rule 202(a)(11)(G)-1 (family offices). This means the...
1/02/2015 | Content area: Investment Adviser
It’s permissible for “non-key employees” of family office advisers to engage in “purely administrative duties,” such as preparing and filing taxes for...
12/22/2014 | Content area: Investment Adviser
Division staff has been asked whether certain trust decision-making powers can be bifurcated between a key employee and a non-key employee. Division s...
10/02/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) Exclusion. A family office, as defined in this section, shall not be considered to be an investment adviser for purpose of the Act. (b) Family of...
9/26/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
The Investment Advisers Act of 1940Section 202 -- DefinitionsWhen used in this title, unless the context otherwise requires, the following definitions...
11/25/2013 | Content area: Investment Adviser
At first, Toby Scammell mounted a vigorous defense of charges that he used insider information to earn a 3,000% profit. The 28-year-old California man...
7/08/2013 | Content area: Investment Adviser
There's a family divide in the regulatory world. Dodd-Frank made clear that single family offices need not register with the SEC but advisers that man...
4/16/2012 | Content area: Investment Adviser
That final rule from the SEC last year outlining registration exclusions for family offices permitted some key employees to have their assets managed ...
4/03/2012 | Content area: Investment Adviser
      Investment Advisers Act of 1940 — Rule 202(a)(11)(G)-1 Peter Adamson III April 3, 2012 RESPONSE OF THE OFFICE...
1/30/2012 | Content area: Investment Adviser
In-laws may be family members but they don't qualify as family clients under the SEC's 2011 final rule on what qualifies a family office from being ex...
8/15/2011 | Content area: Investment Adviser
Plan now to keep copious notes of how you figure your firm's AUM for reporting purposes next year, thanks to a new SEC uniform standard for the calcul...
6/27/2011 | Content area: Investment Adviser
The SEC defines a family office as a firm set up by wealthy families to manage their money and provide tax and estate planning services. A new final r...
6/23/2011 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
This is the SEC's final rule from June 2011 that defines family offices for purposes under the Dodd-Frank law to permit the offices from being exclude...
6/22/2011 | Content area: Investment Adviser
      Speech by SEC Chairman: Statement at SEC Open Meeting: Item #3 – Family Offices by Chairman Mary Schapiro ...
6/22/2011 | Content area: Investment Adviser
      Speech by SEC Commissioner: Statement at Open Meeting to Adopt a Final Rule Excluding a "Family Office" from the Defi...
10/18/2010 | Content area: Investment Adviser
Some family offices will be able to avoid SEC registration but not if they hold themselves out publicly as an investment adviser, according to a propo...
11/16/2009 | Content area: Investment Adviser
You won't find the phrase "family offices" in federal law - at least not yet. The concept has been around a long time and some investment advisory fir...


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