Family Office

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. ...

This is the SEC's final rule from June 2011 that defines family offices for purposes under the Dodd-Frank law to permit the offices from being ...

      Speech by SEC Commissioner: Statement at Open Meeting to Adopt a Final Rule Excluding a "Family Office" from the Definition of "Investment ...