United States:
Deadline Approaching for Family Office Compliance
05 February 2012
Withers LLP
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As you know, on June 22, 2011, the SEC adopted a rule that
exempts family offices from being regulated as investment advisers,
as long as they meet specific criteria. One of the many
regulatory changes brought about by the Dodd-Frank Wall Street
Reform and Consumer Protection Act, this new "family office
rule," provides a broad exemption from SEC registration for
many family offices. However, any family office that does NOT
currently satisfy the criteria for exemption must either
restructure or register with the SEC quickly, as the compliance
deadline of March 30, 2012 is approaching.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
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