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Family Offices in the Dodd-Frank Regulatory Environment
March 29, 2012 12:00 p.m. EDT
Investment banks and brokerage firms aren't the only ones scrambling to prepare for the post-Dodd-Frank Act regulatory environment. Family offices also face major challenges in dealing with the legislation.
Before Dodd-Frank, as long as an entity provided investment management services for fewer than 15 clients, it didn't have to register with the SEC. That exemption is gone, and family offices that formerly flew under the radar must now either comply with the SEC's tighter definition of a family office, qualify for another exemption or submit to SEC regulation. The new SEC definition requires that advisory services be provided exclusively to family members. In-laws, family friends and most employees of the office are out, meaning no more co-investing opportunities for outsiders.
Learn from experts what your options are and how you might decide what the best choice is for your Family Office.
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Click here to download a PDF of the slides >>
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