WebApr 26, 2024 · What You Need to Know. The SEC's “Reg Flex” agenda says it plans to review the family office registration rule exemptions this year. Archegos, a family … WebJun 28, 2011 · June 28, 2011. On June 22, the Securities and Exchange Commission (SEC) adopted a rule exempting from registration and regulation under the Investment Advisers Act of 1940 (Advisers Act) certain "family offices." [1] The rule implements Section 409 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Family Offices: Structuring for Investment Adviser …
WebJul 9, 2014 · Section 409 of the Dodd-Frank Act authorized and required the SEC to adopt a rule that exempts a “family office” from the definition of “investment adviser” in the Investment Advisers Act of 1940 (“Advisers Act”). [2 ] 17 C.F.R. § 275.202 (a) (11) (G)-1 (2011). To be precise, a family office “shall not be considered to be an ... WebAug 21, 2024 · Family offices are private wealth management advisory firms that serve ultra-high- net-worth investors. They are different from traditional wealth management … rod wood panel beaters hamilton
Family Office: A Small Entity Compliance Guide - SEC
WebOct 8, 2024 · Under current rules, this would be the case regardless of whether Archegos was an exempt family office or a registered investment adviser. On May 6, 2024, in testimony before the House Financial Services Committee, SEC Chairman Gensler noted that: "At the core of that story was Archegos' use of total return swaps based on … WebMar 2, 2012 · Accordingly, the Family Office Rule is an important and powerful exclusion for family offices. The staff of the SEC's Division of Investment Management recently published answers to certain categories of Family Office Rule questions regarding, among other things, (i) ownership and control of family offices, (ii) key employees, (iii) family ... WebApr 29, 2024 · Moreover, U.S. securities regulations tend to give family offices favorable treatment. In 2011, the Securities and Exchange Commission (“SEC”) approved rule 202(a)(11)(g)-1 (“Family Office … rod wood hamilton