Home Family Office

Family Office

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 ...
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 ...
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination