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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 ...
The Commodity Futures Trading Commission (CFTC or Commission) is proposing amendments to its regulations to permit commodity pool operators (CPOs) that only solicit and/or accept ...
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 they can’t hold themselves ...
Consistent with CFTC Staff Letters 12-37 and 14-143, and its past practice in this area, the Division granted no-action relief from CPO and CTA registration ...
It’s permissible for “non-key employees” of family office advisers to engage in “purely administrative duties,” such as preparing and filing taxes for a trust, keeping ...
Division staff has been asked whether certain trust decision-making powers can be bifurcated between a key employee and a non-key employee. Division staff has also been ...
This no-action letter from 2014 gives family offices the ability not to register as commodity trading advisors. The SEC has given certain family offices the ...
Consistent with CFTC Staff Letter 12-37, the Division of Swap Dealer and Intermediary Oversight provided no-action relief from commodity trading advisor registration to family offices ...
(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) ...
The Investment Advisers Act of 1940Section 202 -- DefinitionsWhen used in this title, unless the context otherwise requires, the following definitions shall apply:"Assignment" includes any ...
Two families, whose patriarchs have been business partners of a large, publicly traded U.S. retailer since the company's founding over forty years ago, requested no-action ...
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 initially ...
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 manage ...
With two recent no-action letters, the CFTC has made the holiday season for advisers to family offices and fund of funds. But these advisers have ...
That final rule from the SEC last year outlining registration exclusions for family offices permitted some key employees to have their assets managed by the ...
      Investment Advisers Act of 1940 — Rule 202(a)(11)(G)-1 Peter Adamson III April 3, 2012 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION ...
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 ...
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 ...
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. ...
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