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Chairman talks market structure, gamification, disclosures, China, ESG, fee disclosures, cybersecurity, exams.
Rockefeller, Ford, Omidyar and eight other foundations and family offices recently donated $3.3m to impact data organizations – but they think it’s time for asset ...
Administration-wide crackdown on 'corruption' eyes overseas trusts, family offices and foundations. Exempt reporting advisers in crosshairs, too.
Commissioner looking forward to "a road that is likely to be rich with regulatory change"
The SEC's Trading & Markets Division "will not recommend enforcement action to the Commission against broker-dealers that do not treat family offices that qualify as ...
The exemption request asks for a ruling to expand the concept of a family office
This final rule provides an exemption from registration for CPOs and CTAs of family offices
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, single-family ...