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Searching Content indexed under Finance and Banking by R. Scott Beach ordered by Published Date Descending.
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Staffing The Family Office: Attracting And Retaining Talent
Key Duties That Families Require of Family Office Executives - Investment Strategy and Implementation; Accounting, Reporting and Control; Banking and Liquidity Planning; Legal, Governance and Estate Planning ...
United States
11 Oct 2018
2
SEC Proposes RIA Succession Requirements
If a client's portfolio manager dies or abruptly retires, who will be in charge of the client's money, and what will happen to the practice the client has relied on?
United States
6 Jul 2016
3
Family Office Structuring And Operating Pitfalls: Observations From The Field
Family offices that meet certain criteria are excluded from registration with the U.S. Securities and Exchange Commission ("SEC") as an investment adviser ("Family Office Exclusion").
United States
16 Sep 2015
4
SEC Makes Fundamental Changes To Private Capital-Raising Rules
The Securities and Exchange Commission recently approved final rules eliminating the decades-old prohibition against general solicitation and general advertising in all Rule 144A offerings and certain Regulation D transactions, as required by Title II of the JOBS Act.
United States
19 Jul 2013
5
Increased SEC Focus on Broker-Dealer Registration Issues for Private Fund Managers
The Securities and Exchange Commission (SEC) is cracking down on private fund [1] managers for not using registered broker-dealers for fundraising.
United States
13 Apr 2013
6
Updated SEC Guidance On The Family Office Exclusion
Family offices are entities established by wealthy families to manage their wealth, plan for their families' financial future, engage in investment opportunities and provide other services to family members.
United States
18 Apr 2012
7
SEC Crackdown On Investment Adviser Compliance Deficiencies
The Securities and Exchange Commission (the "SEC") is cracking down on firms with compliance deficiencies under the Investment Advisers Act of 1940, as amended (the "Advisers Act").
United States
6 Dec 2011
8
Newly Adopted Fund Manager Reporting Obligations
On October 26, 2011, the Securities and Exchange Commission (the "SEC") adopted new Rule 204(b)-1 under the Investment Advisers Act of 1940, as amended (the "Advisers Act"), which requires certain federally registered investment advisers that serve as managers to hedge funds and private equity funds to make periodic filings on new Form PF with the SEC.
United States
9 Nov 2011
9
Connecticut Department Of Banking Releases Orders Clarifying Investment Adviser Registration And Regulation
On July 11, 2011, the State of Connecticut Department of Banking (the "Department") released three Orders regarding Connecticut investment adviser registration and regulation.
United States
19 Jul 2011
10
SEC Adopts Rules Implementing Dodd-Frank Investment Adviser Registration And Exemption Requirements
The Securities and Exchange Commission ("SEC") recently issued final rules and rule amendments implementing certain provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank") that amend the Investment Advisers Act of 1940, as amended ("Advisers Act").
United States
13 Jul 2011
11
SEC Proposes Rules on Investment Adviser Registration
The SEC recently issued proposed rules and rule amendments under the Investment Advisers Act of 1940 (the "Advisers Act") that would give effect to certain provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act").
United States
13 Dec 2010
12
Dodd-Frank Act Impact on Investment Advisers and Private Investment Funds
On July 21, 2010, the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act") was signed into law by the president. Title IV of the Dodd-Frank Act, "Regulation of Advisers to Hedge Funds and Others," contains provisions that significantly change the registration requirements and regulation of investment advisers.
United States
 
26 Jul 2010
13
Investment Management Compliance Update: SEC Adopts Pay-To-Play Rule For Advisers
New rule 206(4)-5 of the Investment Advisers Act of 1940, recently adopted by the Securities and Exchange Commission (the "SEC"), will prohibit investment advisers who manage public pension assets and other types of government investment funds from making political contributions to officials who choose fund advisers.
United States
19 Jul 2010
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