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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 ...
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 ...
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